Competition Agency Staff Training Programmes

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Competition Agency Staff Training Programmes
International Competition Network
Agency Effectiveness Working Group Project
Competition Agency Staff Training
Programmes
I NDEX
1) EXECUTIVE SUMMARY
1
2) OVERVIEW
3
2.1) ABOUT THE PROJECT
2.2) METHODOLOGY OF THE STUDY
3
3
3) LITERATURE REVIEW
5
3.1)
3.2)
3.3)
3.4)
3.5)
5
7
8
8
9
THE NECESSITY OF CAPACITY BUILDING
TRAINING REQUIREMENTS
BUDGET AND FUNDING
TECHNICAL ASSISTANCE
CONCLUSION
4) AGENCY PROFILES
10
4.1)
4.2)
4.3)
4.4)
10
10
11
11
AGENCY RESPONSIBILITIES
LANGUAGE USED
AGE OF AGENCY
EMPLOYEES
5) STAFF TRAINING IN COMPETITION AGENCIES
13
5.1)
5.2)
5.3)
5.4)
5.5)
5.6)
13
15
17
18
22
26
RESPONSIBILITY FOR STAFF TRAINING
TRAINING CALENDAR
IDENTIFICATION OF NEEDS:
STAFF LEVEL & TRAININGS
INDUCTION AND REFRESHER PROGRAMS
OTHER POPULAR PROGRAMS
6) PROGRAM DESIGN AND EFFECTIVENESS
32
6.2) DOMESTIC RESOURCES USED
6.3) SPONSORING OF EMPLOYEES
6.4) MEASURING EFFECTIVENESS
6.5) PROBLEMS FACED
6.6) ROLE OF INTERNATIONAL CO-OPERATION
ANNEXURE 1: SUMMARY OF AGENCY RESPONSES
BIBLIOGRAPHY
34
38
39
42
44
50
58
i
R EFERENCES
F IGURES
Figure 1: Participating jurisdictions......................................................................................................... 3
Figure 2: Agency Age............................................................................................................................. 11
Figure 3: Number of employees ........................................................................................................... 11
K EY P RACTICES
Key Practices 1: Identification of responsibility .................................................................................... 15
Key Practices 2: Training Calendar ........................................................................................................ 16
Key Practices 3: Training needs identification ...................................................................................... 18
Key Practices 4: Staff Level and Trainings ............................................................................................. 19
Key Practices 5: Induction and Refresher Programs ............................................................................. 26
Key Practices 6: Variety of programs, and use of unstructured sessions ............................................. 34
Key Practices 7: Utilization of External Resources ................................................................................ 38
Key Practices 8: Training Effectiveness ................................................................................................. 42
A GENCY E XPERIENCE
Agency Experience 1: United Kingdom’s Training Department ............................................................ 14
Agency Experience 2: Hong Kong: Employee Appraisals and Training Goals ....................................... 15
Agency Experience 3: CARICOM and Training Need Analysis ............................................................... 17
Agency Experience 4: US FTC and Induction Training Program ............................................................ 23
Agency Experience 5: Japan and Digital Evidence Gathering ............................................................... 28
Agency Experience 6: India and Team Building Off-site Workshop...................................................... 28
Agency Experience 7: Poland and Measurement of Effectiveness ..................................................... 39
Agency Experience 8: Columbia and International Cooperation .......................................................... 45
Agency Experience 9: Australia, New Zealand and ASEAN ................................................................... 47
C ASE S TUDIES
Case Study 1: South Africa .................................................................................................................... 20
Case Study 2: Australia.......................................................................................................................... 30
Case Study 3: United Kingdom .............................................................................................................. 36
ii
1) Executive Summary
The aim of the project titled ‘Competition Agency Staff Training Programme’ by the Agency
Effectiveness Working Group (AEWG) is to highlight the various training and capacity building related
practices that are used by competition agencies across the world.
The report highlights the practices that have been adopted by the participating agencies, covering
aspects of training and capacity building. The identification of needs, preparation of calendar, design
and execution of programs and measuring their effectiveness has been covered in specific subsections. In addition, the role of international co-operation in training and capacity building is
discussed in detail.
All the sub-sections contain illustrations of agency practices and highlight the similarities and
differences across agencies. Though the practices are usually clustered around well identified areas,
they vary widely amongst agencies. It is difficult to recommend a universal approach or template, as
the practices have been implemented by agencies in keeping with their goals, size, age, responsibilities
and resources.
The report also contains boxes highlighting unique and effective methods of training adopted by
individual competition agencies.
‘Case Study’ boxes highlight in brief, the process of training and capacity building that has been
adopted by the competition agencies of South Africa, Australia and United Kingdom. They identify the
resources used, the practices adopted and the process of designing and deploying programs.
The ‘Agency Experience’ boxes specifically highlights practices that have been adopted by competition
agencies, and have been found to be productive.
The ‘Key Practice’ boxes reiterate practices that have been found to be useful across agencies. These
practices can be considered by most competition agencies seeking to improve their overall training
and capacity building.
These Key Practices for consideration include:

Identification of responsibility
A dedicated section or personnel, with the responsibility for ensuring training and capacity
building is widely prevalent amongst agencies. This ensures continuity, effectiveness,
organization of training and capacity building programs. The specific identification of the
responsibility should be undertaken based on agency structure, size, requirements etc.

Preparation of a training calendar
Training calendars are maintained by most of the responding agencies to help in facilitating
an orderly capacity building program. As regards in-house meetings, a calendar ensures that
meetings are held periodically and frequently, and supports participation in the programs.
1

Identification of training needs
Identification of needs helps agencies to fill existing gaps in training and capacity building.
Training needs identification can be undertaken using written and oral methods. Inputs should
be collected from the employees that the training intends to benefit. Useful input on agency
training needs can also come from senior employees.

Use of both structured and unstructured sessions
Learning through in-house unstructured discussions can be an efficient and cost effective
method of increasing capacity of its staff. Internal discussion centred on recent international
developments, publications, and case studies support the building of familiarity with literature
and practices, while simultaneously supporting transfer of knowledge amongst employees.
The results show that most responding agencies, irrespective of age and size, utilise
unstructured sessions.

Training of staff across levels, including through induction and refresher programs
Training programs are organised across all staff levels at many responding agencies, designed
in keeping with the skill levels necessary for discharging the job functions. Training focussed
on professional skills such as interpretation of law, investigation tools, internal processes, etc.,
may be the focus for entry-level staff and case handlers. Importance may be given to areas
such as human resource management, personal effectiveness, leadership skills, etc. for higher
staff levels.

Supporting learning outside the agency
Utilising correspondence, online or part-time programs for supporting employees in acquiring
subject specific skills is seen favourably by the staff and can also be used for retaining high
performing staff.
Agencies should also consider learning opportunities that arise via interaction with
international counterparts and organizations; e.g., opportunities to share experiences or
organize joint training events.

Evaluating effectiveness of programs
On conclusion of a program, collecting participant reactions and recommendations through a
questionnaire or through informal discussion helps to focus programs on specific goals and
outcomes as well as to improve future programs. The feedback should also be discussed with
the training provider.
Appropriate examples and practices have been identified for each of the above identified steps,
allowing agencies to consider practices that will be most relevant to them. We encourage agencies to
seek inputs from their counterparts, and learn from their strengths and weaknesses, wherever
relevant.
2
2) Overview
2.1)
About the Project
During 2015-16, the Agency Effectiveness Working Group undertook a project titled ‘Competition
Agency Staff Training Programme’. The aim of the project was to survey and analyse ICN Member’s
staff training experiences with a view to share experiences and good practices for agency
effectiveness. The project received inputs from 36 member agencies in response to the survey
questionnaires. Those responses form the basis of this report.
The objectives of the project are to identify:
(i) Approaches adopted for providing staff training
(ii) Challenges faced in providing staff training
(iii) Best practices or solutions identified by agencies
(iv) Effectiveness of training program
While a substantial body of literature pertaining to competition law, policy, and enforcement is
available, the literature is sparser in relation to capacity building of such agencies. In the case of staff
training programs, identification of practices adopted by more experienced jurisdictions will help in
recognising similarities and differences in approach.
ICN members from the following
jurisdictions submitted responses on
staff training programs: Australia,
Botswana, Brazil, Bulgaria, CARICOM,
Columbia, Croatia, Cyprus, Czech
Republic, European Union, El
Salvador, Estonia, Finland, Germany,
Hong
Kong,
Hungary,
India,
Indonesia, Italy, Jamaica, Japan,
Kenya, Korea, Latvia, Malaysia, the
Netherlands,
Norway,
Poland,
Figure 1: Participating jurisdictions
Singapore, South Africa, Sweden,
Taiwan, Trinidad & Tobago, Turkey,
United Kingdom, and United States of America.
2.2)
Methodology of the Study
The information was sought from various agencies via a written survey and questions over phone. As
the study aims to highlight practices and experiences in competition agencies, the survey method was
found appropriate for this project.
3
A 1st stage questionnaire seeking quantitative and qualitative details was sent to all AEWG member
agencies. A detailed 2nd stage questionnaire was prepared based on agency responses received, and
further qualitative information was sought. Subsequently, conference calls were organised with some
agencies for the purpose of preparation of case studies. Based on these responses, analysis was
undertaken and the report was prepared.1
 1st Stage Questionnaire
Questionnaire consisting of objective questions was prepared after study of literature on capacity
building, knowledge management, and training, as available with ICN, UNCTAD, OECD etc. A review of
the publicly available material (e.g. annual reports) was also undertaken. Upon finalising of the
questionnaire, it was sent to all AEWG Members, seeking their responses. This questionnaire has been
referred to as the 1st Stage Questionnaire in the text of this report.
The 1st Stage Questionnaire was divided into the following four Sections.
(i)
Section I sought to collect basic information about the agency and its employees.
(ii)
Section II sought information related to implementation of training and other capacity
building programs.
(iii)
Section III sought information on process adopted to measure effectiveness of training
program.
(iv)
Section IV sought to identify budgetary support for the organisation of training programs.
 2nd Stage Questionnaire
On basis of the responses to the above questionnaire, additional information was sought from 21
competition authorities, of which 19 responses were received. This enabled us to get qualitative inputs
on specific experiences and learnings in greater detail. This questionnaire has been referred to as the
2nd Stage Questionnaire in this report.
 Conference Calls
After receiving the above information, one-on-one phone call were organised with some of the
respondents to obtain further details about experience, challenges and outcomes of the training
programs.
 Referencing in the Report
In summarising the agency practices and participating agencies, jurisdiction names have been used
instead of agency names or abbreviations, for ease of reading.
1
The Report has been prepared by a team of officers led by the International Cooperation Division of the
Competition Commission of India. For drafting of the Report, assistance was also received from the NonGovernmental Advisors (NGAs) to the Competition Commission of India.
4
3) Literature Review
A substantial body of literature from the ICN, the United Nations Conference on Trade and
Development (UNCTAD) and the Competition Committee of the Directorate for Financial and
Enterprise Affairs of the OECD has focused on the capacity building and knowledge management
requirements of competition agencies. A limited amount of academic research has also been
undertaken in the area.
When identifying the constituent elements that go into the making of a well-functioning competition
agency, the role of training and capacity building has regularly been flagged, as necessary for ensuring
an effective work force (Gal, 2004, UNCTAD, 2011A; ICN, 2003).
Very early in its existence, the ICN identified capacity building as a key area of work. The ICN, which
took shape in 2001, created the Capacity Building and Competition Policy Implementation Working
Group2 (Working Group) in 2002. The Working Group undertook work on the necessary requirements
for building effective competition agencies with particular focus on agencies in developing and
transition economies. (ICN, 2003)
3.1)
The necessity of capacity building
In response to an ICN questionnaire on capacity building in the competition agencies of developing
and transition economies, most responses identified training programs as a measure for overcoming
the human resource constraints, such as high staff turnover, shortage of qualified staff, noncompetitive salaries etc. (ICN, 2003).3
Similar findings emerged from the ICN (2006) study wherein questionnaires were used to seek
responses on issues faced by young competition agencies. The responses received from twenty
competition agencies that were less than 15 years old, revealed that most of the responding agencies
identified the limited availability of experienced professionals as a problem. The reasons attributed
for this shortage were as follows:
a. Dearth of qualified professionals in competition law and policy;
b. Civil service salaries not being attractive; and
c. Lack of personnel resources.
2
Later renamed as the Agency Effectiveness Working Group
3
The report while recognising the importance of training programs states as follows:
“……. training programs, vital though they are, may not be sufficient to confront these challenges in the crucial
short and medium terms – staff secondments from more experienced agencies is one such short term expedient;
finding mechanisms to leverage the resources of private complainants in investigations and prosecutions is
another.”
5
Irrespective of the cause, the report notes as follows:
“The lack of skilled personnel has meant an inability of agencies to readily identify
offending practices, and to handle complex matters. It also leads to extended
delays and sometimes incorrect decisions. These may ultimately lead to a lack of
confidence in the organizations by their respective business communities and
stakeholders, and a lack of confidence by the staff of the organization in themselves
and in their ability to enforce their legislations effectively.”
The responses showed that specific training programs and job attachments were being utilised to
overcome personnel related issues, an area that had received substantial attention from the agencies
themselves. (ICN, 2006).
Gal (2004) sought to identify the prerequisites required for ‘competition law to bloom’ in developing
countries. The paper identified tools necessary for implementing the competition regime. Among such
tools, human resources was a key area identified as a requirement. Based on the experience of
antitrust authorities, she states that “the best laws cannot be applied without adequate human
resources, i.e. a staff of sufficient size with adequate technical competence”. Further, she states that
lack of technical competence can lead to under-enforcement of the law, and undermine the
reputation of the authority. She states that the skills are particularly required in an agency’s early
years when it is required to prevail on courts that the agency’s cases are procedurally sound and
substantively meritorious. Drawing upon Kovacic (1997), she states that the early years determine the
legal basis for future actions.
In response to a survey undertaken for ICN (2008), agencies identified ‘learning’ and skill training
programs as areas of emphasis. With regard to training for newly hired staff, nearly 90% of the
responses indicated having training programs, though they differed widely in duration and content.
On the issue of staff retention, those agencies that identified staff retention as a priority used various
steps, ranging from training opportunities, to financial incentives, improved working environment
including, encouraging good managers, and thereby facilitating professional growth. (ICN, 2008)
The role played by training programs and engagement in academic work was identified by UNCTAD
(2011A) as steps that competition agencies can take to retain staff. The note which aims to study and
identify the foundations of an effective competition agency, also stated that the provision of training
in project management, procedure, communication, and advocacy would complement the more
academic background of the agency staff.
ICN (2014) draws upon existing human resources literature to identify training as one amongst the
seven necessary human resource management practices. More recently, ICN (2016) highlights the
importance of training in strengthening public sector ethics. While training can only be effective in the
presence of formal rules, and code of conduct - the impact of such rules will be limited if they are not
properly communicated. Training for new employees, and periodic on the job training, using a variety
of training methods were recommended.
6
3.2)
Training requirements
One of the earliest initiatives taken up by the ICN, was preparation of the report ‘Capacity Building
and Technical Assistance’ (ICN, 2003). The report made a case for competition law in developing and
transition economies, and drew upon local experiences while listing various methods for providing
technical assistance. The responses to the questionnaire identified the following requirements:
a) Hands on training on case work, for developing practical skills;
b) Investigation techniques and economic analysis were identified as areas wherein assistance is
required;
c) Visits and internships with more mature agencies to obtain first-hand experience;
d) For economies without substantial experience with market economies, assistance was sought
with advocacy activities directed at policy makers, the private sector and the media;
e) Provision of assistance to sector specific regulators; and
f)
The inclusion of the judiciary in the training process was also identified.
Serebrisky (2004) on analysis of survey responses received from competition agencies of East Asia and
Pacific (EAP), Latin America and the Caribbean (LAC) and Europe and Central Asia (ECA) had identified
the need for training on conceptual competition issues in cases of emerging and transitional countries.
The focus of his study were emerging and transition countries. The results indicated the requirement
of training that provide ‘how to solve day-to-day technically challenging cases’. The most preferred
method was practical and hands-on methods, particularly case studies. The results also indicated that
competition agencies were willing to experiment with a variety of training methods.
Gal (2004) identifies the shortage of skilled staff as a major area of concern. For the long run, she
recommends building links with universities, to ensure that the subject is added to the curriculum. For
the short run, she identifies staff training programs covering procedural, methodological and
substantive matters as a tool to ensure staff competence. She supports technical assistance in the
form of internships, and secondments as a tool for guiding the staff (also see CUTS, 2003).
Towards the same end, Gal (2004) states that that technical cooperation agreements should be
utilised. She recommends utilising bonds covering several years as a step for reducing the impact of
high staff turnover (also see Stewart, 2004). She also recommends using guidance manuals, and case
histories to build collective memory, and for reducing dependence on specific staff.
The response to a survey undertaken by OECD (2013) indicated that a majority of the surveyed
jurisdictions considered international co-operation as a means to build their internal capabilities,
including exchange and development of best practices, exchange of experience and expertise, and
sharing of non-case specific enforcement methodologies.
7
3.3)
Budget and Funding
In the case of developing and transition economies, the accessibility and availability of resources and
expertise have regularly been flagged as areas of concern (Clement, Gavil, Korsun, & Kovacic, 2001;
Krakowski, 2005; Gal, 2004). Serebrisky (2004) states that the responses received indicated that
adequate budget was not available to fulfil training requirements.
Gal (2004) states that adequate financial resources complement human resources. She identifies a
number of agencies’ experiences, wherein their functioning was hampered by insufficient resources.
3.4)
Technical Assistance
Technical assistance is an area that has seen a substantial amount of work, research and review. The
same has been facilitated by the fact that donors have followed internationally accepted principles4.
The provision of technical assistance has also had the benefit of being more systematically
documented compared with other areas of capacity building.5
ICN (2003) discussed the needs of developing and transitioning jurisdictions and summarised that:
“Agencies’ needs for technical assistance develop over time. During the initial
setting-up period of a new agency, full-scale programs combining various forms of
assistance, and including resident advisors, is likely to be the most appropriate and
effective kind of assistance. In particular, it is convincingly argued that long-term
stays not only improve the donor’s understanding of the local economic, political
and cultural context, but also help to build up the essential trust between donor
and recipient that makes the cooperation prosper.”
The report was prepared by drawing upon responses from recipient countries and identified areas
wherein assistance is mainly sought. The report provides a useful checklist for designing assistance
projects.
Nicholson, Sokol, and Stiegert (2007) undertook an empirical analysis of technical assistance support
provided to developing and transition economies for the period 1996-2003. Their analysis had
identified the following factors as being important for the success of technical assistance projects: i)
involvement of donor and recipient in the set up process, ii) involvement of long term advisers, iii)
recipient country characteristics such as per capita wealth and overall market freedom, and iv) the
quality of assistance.
Nicholson et al. (2007) while emphasising the point that there is no ‘one size fits all’ approach, an
emphasis on outputs, oriented towards the recipient agency “ability to effectively intervene in
situations of anti-competitive conduct and enforce competition policy” is necessary for successful
technical assistance programs.
4
5
See OECD, 1991, 2008
UNCTAD, 2004; UNCTAD, 2006; UNCTAD, 2011; UNCTAD, 2014; UNCTAD, 2015
8
Evenett’s (2006) also supports these findings. He opines that the benefit of the technical assistance
programs depends on the level of development of the recipient agency, and that study missions and
internships provide significant support.
3.5)
Conclusion
In conclusion, based on the literature review undertaken, it can be seen that training and capacity
building play a substantial role in the creation of effective agencies. It is also seen that there exists a
need to identify and document such training practices and experiences.
This report attempts to further the available information on the subject, allowing competition
agencies to draw upon each other experiences, and implement suitable practices.
9
4) Agency Profiles
In order to appreciate the capacity building and training practices adopted by a competition agency,
it is necessary to understand the context within which such activities are being undertaken. Keeping
this in mind, the questionnaire sought information on areas such as age of the agency, responsibilities,
staff size, office locations etc. Provided below is a brief sketch of the participating agencies.
4.1)
Agency Responsibilities
The responses from the agencies indicated that all the responding agencies had been granted the
mandate of competition enforcement in case of cartel and unilateral conduct. The responses also
indicated that the agencies had the additional mandate of competition advocacy.
The mandate for merger review lay with 33 of the 36 responding agencies. Some responding agencies
were found to be conducting competition impact assessment.6The mandate for consumer protection
has been granted to 13 responding agencies.7 The responses from 6 agencies indicate that they also
have within their purview sectoral regulation.8 There are number of responding agencies, with
additional responsibilities in specific areas such as multi-level marketing for Taiwan; and public
procurement for Sweden and Czech Republic. Poland has the responsibility for general product safety,
market surveillance and management of fuel quality. Similarly, Australia also has the mandate for
product safety. Columbia has the additional responsibility of data protection, industrial property, and
metrology. Norway has the administrative responsibility for the Secretariat for the Norwegian
Complaints Board for Public Procurement.
It is noted that the survey the survey did not find any impact on training needs based upon an agency’s
set of responsibilities.
4.2)
Language Used
Information was sought regarding the language used by the agency. The responses showed that
English was the most prevalent language used by 12 agencies.9 8 agencies were identified as being
bilingual including English (EU, Bulgaria, Cyprus, Hong Kong, Italy, Malaysia, the Netherlands, and
Norway).
6
Hong Kong, Italy, Singapore, Taiwan, Turkey, Cyprus, Croatia, CARICOM
7
Australia, CARICOM, Columbia , Finland, Hungary, Italy, Jamaica, Kenya, Korea, Netherland, Poland, United
Kingdom, and USA
8
Australia, Botswana, Estonia, EU, the Netherlands, United Kingdom,
9
Australia, Botswana, CARICOM, Finland, India, Jamaica, Kenya, Singapore, South Africa, T&T, United Kingdom,
USA
10
16 agencies used other languages- Portuguese (Brazil), Spanish (Columbia, El Salvador), Croatian,
Czech, Estonian, German, Hungarian, Bahasa Indonesia, Japanese, Korean, Latvian, Polish, Swedish,
Taiwan, and Turkish.
For agencies not using English as their main language, the 2nd Stage Questionnaire sought to identify
whether the same acted as a hindrance in accessing material for training and capacity building. Brazil,
Latvia and Sweden indicated that their staff is multilingual, and therefore accessing material in English
does not pose a problem. Germany also trains international team in English language. Columbia stated
that substantial material is available in Spanish. Japan, Korea and Taiwan primarily rely on material
developed in-house.
4.3)
Age of agency
Information was sought regarding the age of the
agency for gauging their experience.
Number
21 of the 36 responses received were from agencies
with more than 20 years of enforcement experience.
25
21
20
15
10
It is estimated that currently more than 125
jurisdictions have adopted competition laws, of
which more than 100 are less than 25 years old.
(Kovacic & Mariniello, 2016)
6
5
4
0-5
6-10
5
0
11-20
> 20
Years
Figure 2: Agency Age
Therefore, in reading the Report, it should be kept in
mind that the practices adopted by agencies with
more experience could benefit younger agencies. Likewise, younger agencies that have active training
programs focused on enforcement fundamentals and entry-level training may be in a position to offer
advice to all agencies.
4.4)
Employees
4.4.1) Employee strength
The response to the survey was diverse and the
responding agencies represent a wide spectrum as far
as employee strength is concerned.
Training and capacity building programs are designed
in keeping with the size and needs of its audience. The
frequency of training and capacity building programs
is also dependant on the size of the agency.
Therefore the responses received highlighted a wide
spectrum of practices, in keeping with the agency
11
12
11
10
10
10
8
5
6
4
2
0
0-50
51-100
101-300
Figure 3: Number of employees
>300
requirements. Further, greater standardization in programs by larger agencies is noted based on
survey responses.
4.4.2) Employee Location
8 participating agencies have branch/field offices in addition to the Head Office.10 Competition
agencies of the remaining participating agencies operate from a single office.
10
Australia, Czech Republic, Indonesia, Japan, Korea, Poland, United Kingdom and USA
12
5) Staff Training in Competition Agencies
This section aims to highlight the training and capacity building practices that are adopted by
competition agencies, drawn from the 36 responses received to the questionnaire.
A wide variety of practices are observed, and reflect each agency’s individual requirements, staff
strength, experience, responsibilities, etc.
In view of the wide variety of reasons that affect the design and delivery of training and capacity
building initiatives, the aim of this report is to identify practices that are undertaken by the agencies
and the context for those practices.
5.1)
Responsibility for staff training
All the responding agencies stated that the responsibility for conducting capacity building and training
has been specifically allocated within the agency. The responses highlight that there are different
models followed by the agencies in relation to staff training. The different structures are discussed
below:
 Human Resources Division
The human resources department is responsible for conducting staff training in 14 competition
agencies.11
In the USA, the Human Capital Management Office (HCMO) is responsible for the human resources
function within the Federal Trade Commission, including monitoring the training budget. The Chief
Human Capital Officer (CHCO) is the head of HCMO. Within HCMO, the Chief Learning Officer (CLO) is
responsible for planning and conducting the trainings. The CLO is responsible for planning, budgeting,
obtaining, evaluating, and conducting training programs. The FTC also has a Training Council, which
includes representatives from the FTC’s Bureaus, Offices and Regional Offices.
In Poland, the ‘Office of Human Resources, Training and Organization’, headed by the Office’s Director,
is responsible for human resources management and staff training. The Office deals with personnel
matters, including employment, promotions, trainings, as well as internships and student placements.
It also provides chancellery services, administrative and office support to the Director General, as well
as to the Disciplinary Committee and other committees appointed by the President of the agency or
the Director General. Separately, the Office performs internal audit activities with respect to the use
of the agency’s budgetary resources.
In Australia, the People and Culture Branch is the responsible department. Within the department,
two staff members have overall responsibility for Learning and Development (L&D). Separately, within
11
Australia, Botswana, Brazil, Columbia, Germany, Hong Kong, Hungary, Japan, Kenya (has both HR and
Administrative department), Norway, Poland, Singapore, South Africa, and USA.
13
each of the divisions, the administrative staff manages divisional L&D budgets, that are designed to
build technical capability.
 Specific Training Department
The responses show that 10 agencies have
a distinct training department.12
Agency Experience 1: United Kingdom’s Training
Department
In India, there are two separate
departments, namely the International
Cooperation Division (ICD) and the
Capacity Building Division (CBD). CBD is
responsible for planning, co-ordinating and
organising purely in-house programs or
programs organised by relying on country
based experts. The ICD undertakes coordination
of
trainings
wherein
international support is required. Further,
it co-ordinates participation of staff in
international events.
Training and capacity building is overseen by
CMA Learning and is governed by a Learning
Governance Board consisting of senior
executives from various departments of the
agency including the CEO. CMA Learning
consists of three teams who are collectively
responsible for access to, and organisation of,
learning and development.
 Others
The CMA Know-How Team coordinates
initiatives to ensure that learning from each case
or project is shared effectively. It organises knowhow talks to share learning and experience from
past cases and legal developments.
In 4 agencies, training and development is
overseen
by
the
administrative
department of the competition agency.13
In 2 agencies, there are “designated
people” appointed for staff training.14
7 agencies have submitted that they do not
have a separate department for training
and development within the agency.15
The CMA Academy facilitates the development
and delivery of core and specialist professional
training across all work streams. Its purpose is to
increase the wider professional capability of the
staff, embedding and nurturing best practices in
training methods and consistency of delivery.
HR Learning focusses on leadership and
management development as well as the
development of personal effectiveness and
“softer” skills for all staff.
In Norway, it is the Director of every market monitoring department who is responsible for the training
plans of its own officers. In addition to the Human Resources Section, the Chief Economist's Staff and
the Legal Director's Staff have additional responsibility of training and capacity building within the
agency.
Jamaica has stated that the responsibility for training and capacity building lies with 2 senior officials
- the Executive Director and the General Manager.
12
El Salvador, European Union, India, Indonesia, Italy, Korea, Malaysia, the Netherlands, Turkey, U.K.
13
Bulgaria, Sweden, Latvia, Jamaica
14
Finland, Croatia
15
CARICOM, Cyprus, Czech Republic, Estonia, Jamaica, Taiwan and Trinidad & Tobago
14
Key Practices 1: Identification of responsibility
A dedicated section or personnel with the responsibility for ensuring training and capacity
building is found to be a common practice across agencies, irrespective of size. The presence
of such a dedicated section or personnel supports continuity, effectiveness, organization of
training and capacity building programs.
The specific identification of the responsibility should be undertaken based on agency
structure, size, requirements etc.
5.2)
Training Calendar
A training calendar lists the training and
capacity building programs that are
planned for a specified period of time
(yearly, half yearly, etc.). The calendar is
usually maintained by the individual or
the department tasked with the
responsibility of coordinating or
delivering the programs. An established
training calendar can bring organization,
continuity,
awareness,
and
professionalism to a training program,
and increase focus and attendance.
28 agencies have a training calendar for
scheduling various training programs,16
while 8 agencies have no such training
calendar.17
In Norway, the calendar is prepared as
part of the annual budget process. Each
department prepares an annual plan for
its employees including identification of
the budget.
Agency Experience 2: Hong Kong: Employee
Appraisals and Training Goals
The employees are required to identify their learning
and development needs as a part of the performance
agreement and proposal process and this is taken into
account in preparing the training schedule.
A list of general competencies has been developed as
part of the performance assessment program. The
competencies are defined as Fundamental
Awareness, Novice, Intermediate, Advanced and
Mastery. A specific performance head for
‘Continuous Learning’ has been included.
Individuals finalise their plans based on discussion
with supervisor at the beginning of the appraisal
period. An outline of the individual’s specific
objectives for the year and their expected
competencies in performing those objectives is also
prepared.
The performance appraisal contracts are developed
in the months of June and July. A mid-cycle review
is conducted by way of an informal interview
between the staff member and their supervisor. A
more formal appraisal is conducted at the end of the
period with a rating being given and comments made
by both the appraising supervisor and the appraisee.
In USA, the FTC provides for an
Individual Development Plan (IDP) for its staff. An IDP is a personalized action plan that identifies the
training and other developmental experiences needed to achieve the employee’s short and long-term
goals, for the benefit of the individual and organization, within a specified time frame. They are
16
Malaysia, Latvia, Japan, Germany, Italy, Poland, Hong Kong, Taiwan, Croatia, India, Indonesia, Norway,
Singapore, Turkey, United Kingdom, Estonia, El Salvador, Brazil, Korea, Columbia, Finland, Kenya, the
Netherlands, South Africa, USA, Botswana, EU and Hungary.
17
CARICOM, Trinidad & Tobago, Bulgaria, Jamaica, Cyprus, Czech Republic, Sweden & Australia.
15
designed as paths to reach career goals within the context of organizational objectives. The IDP is
created based on discussion and joint decision between the employee and his/her supervisor, with
input from mentor(s). It covers the specific skills, experiences, and training necessary to fulfil the
mutual goals of individual career and organizational development.
Although Australia does not have a specific training calendar plan, training activities are planned
throughout the year. Australia offers induction training and refresher training through its online
program, as needed.
 Period of the Training Calendar
For 6 agencies, the training calendar provides for planning of 6 months,18 whereas in 24 agencies the
training calendar plans for one year.19
 Frequency of Review of the Calendar
There are 7 agencies, which review the training calendar monthly.20. The European Union reviews the
training calendar every 3 months. 4 agencies review the training calendar every six months,21 and 13
agencies review the calendar annually.22
In Estonia, the training calendar is for 12 months and is updated every year on 30th January. Other adhoc provisions are considered on a continuing basis, depending on offers available and budget.
In Jamaica, the Executive Director reports quarterly to the Commission on the status of staff training
and development.
El Salvador, Estonia, Finland, Hungary and Norway review their training calendar on a need-basis.
Key Practices 2: Training Calendar
Training calendars are a widely followed practice. A training calendar ensures that the
agency’s staff is aware of upcoming programs, and can set aside time for them. This also
ensures greater participation in the programs. Internal, and unstructured events should also
be included in the calendar. Preparation of a calendar may help in facilitating an orderly
capacity building program.
18
Italy, Croatia, Turkey, United Kingdom, Latvia and Taiwan.
19
Malaysia, Japan, Germany, Poland, Hong Kong, India, Indonesia, Norway, Singapore, Estonia, El Salvador,
Brazil, Korea, Columbia, Finland, Kenya, the Netherlands, South Africa, USA, Australia, Botswana, EU, Hungary,
and Taiwan.
20
Malaysia, Italy, Poland, United Kingdom, South Africa, USA and Latvia.
21
Hong Kong, Croatia, India and Taiwan.
22
Germany, Japan, Indonesia, Norway, Singapore, Turkey, Brazil, Korea, Columbia, Kenya, the Netherlands,
Botswana and Taiwan.
16
5.3)
Identification of needs:
30 participating agencies have a process in place for identifying and training professional development
needs.23 6 agencies do not have any formal mechanism for identification of training needs.24
Of the responses received, 18 agencies had conducted such analysis within the last one year.25 8
agencies had conducted the same within the last 1-2 years.26 The analysis was undertaken both as part
of a formal process and as an outcome of informal discussions. The inputs were either sought directly
from individual employees or from senior employees and heads of departments.
 Inputs from Individual Employees
A number of agencies undertake the analysis as
part of the annual appraisal of the employees.
Such a system has been adopted in Australia,
CARICOM, Hong Kong, Latvia, Norway and South
Africa.
Another method of identification of employee
needs is the usage of employee surveys. India
undertakes a biennial survey of the employees to
identify the requirements. The survey considers
the requirement of employees across the
professional streams.
Agency Experience 3: CARICOM and
Training Need Analysis
CARICOM is currently undertaking a
Situational Assessment and Capacity
Needs Analysis through the CARICOM
Secretariat.
This is part of the phased development and
implementation of a CARICOM Results
Based Management System, based on the
Strategic Plan for the Caribbean
Community 2015 – 2019. The aim is to
create a more results-based approach. The
plan specifically calls for continuous
training and development of public
officers and the development of specialist
skills in key areas.
A Training Officer (TO) at the US FTC is responsible
for planning and conducting surveys of training
needs, competencies, skills gaps, and evaluation of
the training programs. The CLO, along with the TO
and in cooperation with the Training Council, conduct an ‘Annual Assessment’ to identify existing and
foreseeable employee and organizational training needs. Funds are allocated based on the needs
identified. This then forms the basis of the Annual Training Plan.
 Inputs from Senior Employees
The other prevalent method for identification of needs is seeking inputs from heads of units or from
senior employees. In Brazil, the heads of units are called on annually to communicate their training
requirements to the human resources department. In Norway, the training needs are assessed
through individual talks/interviews between the officers and the heads of the respective departments.
23
Botswana, Australia, Brazil, Columbia, El Salvador, Estonia, European Union, Finland, Germany, Hong Kong,
Hungary, India, Indonesia, Italy, Japan, Korea, Kenya, Latvia, Malaysia, the Netherlands, Norway, Poland,
Singapore, South Africa, United States, United Kingdom, Turkey, Trinidad & Tobago, Taiwan and Sweden.
24
Jamaica, Czech Republic, Cyprus, Croatia, Bulgaria and CARICOM.
25
Australia, Brazil, Columbia, El Salvador, Estonia, Finland, Hungary, Jamaica, Japan, Kenya, Korea, Latvia, the
Netherlands, Norway, Singapore, Sweden, Turkey, and USA.
26
European Union, South Africa, Botswana, Italy, Malaysia, Poland, Taiwan and United Kingdom.
17
Similarly, in Columbia, inputs are sought from the Deputy Superintendents Directors and Coordinators
of Working Groups.
Key Practices 3: Training needs identification
Responses show that identification of the needs is prevalent across agencies, irrespective of
their age and size. Undertaking identification of needs will help an agency take into account
specific gaps and requirements.
Training needs identification can be undertaken using written and oral methods. Reliance
should be placed on the individual employees that stand to benefit from the training, and may
also include inputs of senior employees.
5.4)
Staff Level & Trainings
All participating agencies were asked to provide inputs on staff trainings (for each level-senior
management, mid-level management and entry-level staff) in the last two years. The responses show
that 21 participating agencies provide training at all staff levels.27
Two agencies indicated that they provide training exclusively to the mid-management level staff;28
while eight agencies provide training to both mid-level management and the entry level staff. 29
Cyprus provides only entry level training to its staff, while CARICOM provides training only to its senior
and mid-level staff. In this regard, it is highlighted that both these agencies have less than 50
personnel.
In the Netherlands, based on interviews conducted, a Management Development Programme has
been recently developed for middle-level management, which determines the learning needs of
managers, covering agency-vision, leadership and team coaching and other activities.
 Senior Management
In the 2nd Stage Questionnaire, responses were sought from the agencies on the steps undertaken to
meet the training and capacity building requirements of the senior management.
In Latvia and Norway, the senior management attend training organised by other governmental
agencies. The programs are specifically designed for senior government/public sector employees.
Similarly, Singapore also utilises the services of the Singapore Civil Service College. The training
programs for senior management personnel cover the areas of organisational excellence, strategic
thinking, coaching, counselling and mentoring, and leadership development.
27
Australia, Botswana, Brazil, Croatia, El Salvador, Estonia, European Union, Finland, Germany, Hong Kong,
Jamaica, Latvia, the Netherlands, Norway, Malaysia, Singapore, South Africa, Sweden, Taiwan, Poland and the
United Kingdom.
28
Bulgaria, and India.
29
Columbia, Hungary, Indonesia, Italy, Japan, Kenya, Korea and Turkey.
18
The Netherlands also utilises training offered by the Dutch Central Government for its top
management. Further, senior personnel enrol in university courses for training purposes.
Finland stated that they have recently concluded the preparation of their Personnel Strategy, which
contains training program for managers.
In both Germany and Brazil, training for senior management is provided by external specialists/
institutions, which undertake training design and provide the training material.
In the United States, the provision of training for senior management is undertaken both by in-house
as well as by external speakers and programs.
 Departmental Meeting
A number of agencies frequently organise department/ division-wide meetings, which are used for
discussing latest developments, ideas and the way forward. The Netherlands, Finland and Italy have
stated that departmental meetings are attended by staff at all levels.
In Norway, the Chief Economist's staff and the Juridical staff usually organise monthly lunch seminars
for staff at all levels. These seminars are also organised after the conclusion of cases or projects of
relevance. In addition, seminars are organised for the entire staff both during the summer months
and in December. Separately, some departments frequently have case presentations and
departmental meetings.
In Jamaica, they have weekly in-house technical staff meetings to discuss ongoing investigations.
These meetings aim to keep the staff up to date on issues related to: (i) investigative and analytical
techniques, (ii) specific areas of legislation, and (iii) conduct of economic assessments. Participation
by technical staff is mandatory and is noted on the staff’s performance appraisal.
In Singapore, a monthly staff meeting is organised where staff share their new experiences, skills and
knowledge gained. In addition, each division in the agency has regular division meetings (monthly, bimonthly or quarterly) where the staff participate in discussions related to their division’s areas of
expertise. These meetings are utilised by the staff to share the knowledge they may have acquired
during international trainings and other events.
Key Practices 4: Staff Level and Trainings
Training programs should be organised across all staff levels, taking into account the skills
necessary for discharging the assigned job functions.
Entry-level staff training can focus on professional skills such as interpretation of law,
investigation tools, internal processes, etc. Training for senior staff may include areas such
as human resource management, personal effectiveness, leadership skills, etc., as relevant.
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19
Case Study 1: South Africa
Preparation of individual training plans
Professional training is delivered by a section within Human Resources (HR) Division called
‘Learning and Development’.
Training needs are identified through the Performance Management System (PMS). The procedure
begins with a discussion between a staff member and the Divisional Manager/Supervisor on the
developmental requirements. This discussion can occur either as part of the performance evaluation
process or at the employee’s initiative. Through this discussion, any performance gaps that may exist
are identified. This discussion is then documented for each employee and called the Personal
Development Plan (PDP) or the Individual Development Plan.
The individual PDPs are consolidated at the divisional and organisational level as part of the PMS
and are used to arrive at an annual plan. Then, this information is used to identify high and lowdemand areas, and accordingly budgeting is undertaken. Further discussion is held between the HR
Division and the Division Manger prior to finalising the annual plan.
The individual plans are developed with support from the divisions, and each division has a ‘Training
Committee’ which is responsible for ensuring that training related tasks are undertaken. In addition,
they are also responsible for assessing if training skills are being utilised within the organisation.
The Divisional Manager also assumes a coaching/mentoring role with respect to the staff member(s),
in order to assist his/her decision-making process regarding the choice of a relevant course of study.
Thus, HR Division together with the Divisional Manager / Supervisor may emphasise certain courses
of study. In addition, the HR Division may recommend relevant service providers for such courses.
A total of four assessments are undertaken in a year (two formal and two informal), in order to identify
if the progress is in alignment with the stated goals. As the training sessions are identified by each
employee, it is the employee’s responsibility to ensure that the necessary training sessions are booked
and attended. The agency sets aside 4% of an employee’s annual salary to their training and capacity
building.
The development of PMS and PDP is in line with the CompCom’s Workplace Skills Plan, which is
an outcome of the Skills Development Act, 1998. The preparation of a Workplace Skills Plan is
mandated by this law for private and state entities, if they employ above 50 personnel. Further, under
this law, there are several Sector Education and Training Authorities (SETAs) which review and
approve sector skills plans in line with the national skills development strategy.
Conditions for training
Only full time employees of CompCom are eligible to apply for three categories of training technical, leadership and behavioural attributes. The employees can choose a maximum of two
courses under each category.
The employee must undertake to provide CompCom with a statement of results as soon as they
become available after writing the examinations (this will be used to evaluate the employee’s
performance and in the decision to continue financial assistance) and on completion of the course. If
the employee fails to submit a statement of results, then he/she will be personally liable for the course
payment.
On completion of the course, the employee must provide CompCom with a full evaluation, especially
on how the learning is expected to benefit the employee and how it will be implemented at the
workplace. The evaluation report will encompass: (i) learning for the organisation and colleagues, (ii)
a learning log for the employee, and (iii) how the learning can impact the organization’s mandate.
Other capacity building initiatives
Informal session called Kom Praat Saam are hosted on the request of any employee, who may have
an informative topic or may have attended a course, on which they would like to share their thoughts
20
and ideas with their colleagues. The agency hosts at least two such sessions in a month (usually on
Tuesdays).
Staff Meetings with the Commissioner are organised monthly. This helps the Commissioner to
informally address the whole organisation and discuss any pending matters. At the end, a Happy
Hour is organised, where colleagues can discuss happenings and developments across teams.
Thursday Sessions consist of self-nominated topic discussions which cover any topic of interest
identified by employees. These sessions last from one to three hours depending on the nature of the
topic. The employees nominate themselves and choose a topic on which they want to have an open
discussion. An annual calendar, with empty Thursday slots is prepared and is filled up as the year
progresses. Topics are included on the calendar blank spaces. Thus, the calendar gets updated as and
when nominations come up. Usually these sessions relate to case discussions. Sometimes these topic
discussions relate to particular issues on competition law, policy, or economics. At times, research
papers written by employees are shared with the community as a whole. As the sessions are organised
after discussion within the division, usually members of the division are present to participate in the
discussion.
Recently, a cultural survey was conducted and organisational values were identified. The values are
represented by the acronym ‘COMPETE’ i.e. Communication, Ownership, Making –a –Difference,
Professionalism, Employee-Welfare, Teamwork, and Efficiency.
Going forward
From 2018 onwards, a 360 degree assessment is proposed to be undertaken in order to replace the
current PMS. For each individual, feedback would be sought not only from the supervisor, but also
from the people who are reporting to the individual, and others who obtain direct services from the
individual employee. Succession planning would also be incorporated in the new system. The new
system aims to reduce uncertainty, and set clearer expectations from the employees.
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21
5.5)
Induction and Refresher Programs
The responses to the questionnaires indicate that the responding agencies use a wide spectrum of
training programs as part of their capacity building initiatives. Discussed below in detail are induction
and refresher programs.
5.5.1) Induction Programs
The responses indicate that 32 agencies organise induction programs for their new staff.30 However,
even amongst the agencies that do not have any formal induction programs, there is some form of
guidance that is provided. For instance, in CARICOM, all new staff members are provided with
pertinent documents that are relevant to the agency’s work. Similarly, in Hong Kong, new case
handlers are provided with an induction pack which includes key material on competition law,
economics and procedures along with links to relevant resources such as the ICN Training on Demand
material.
The frequency of the induction program is varied amongst the agencies. They could range from weekly
(USA), fortnightly (United Kingdom), monthly (Columbia, Jamaica), quarterly (South Africa,), half yearly
(Sweden), yearly (Brazil, Korea, Japan, Hungary Turkey, Norway) and with each new batch of
recruitment (Botswana, Croatia, Cyprus, Czech Republic, El Salvador, India, Indonesia, Italy, Kenya,
Latvia, and Poland)
The European Union and Germany have stated that they organize induction programs on a quarterly
or half yearly basis. Finland, Malaysia and Singapore organize induction training programs once or
twice a year. Estonia and Netherlands organize it on a need basis. In Australia, since the induction
program is available online, it can be accessed as and when needed.
20 agencies provide induction programs utilizing solely in-house resources.31 9 agencies use both
internal and external resources. The external resources used are mostly academic institutions.32
Poland utilizes their civil services institutes for the provision of induction training programs. In
Singapore, the civil service institute, in-house and outside experts are responsible for providing
induction training. Kenya uses external resources for organisation of induction programs for its Board
Members.
In Poland, new employees undergo a public service training which prepares them for performing their
duties. This also includes training in protection of confidential information. The trainings are
conducted by agency employees from the relevant units. Additionally, all new employees participate
30
Australia, Botswana, Brazil, Columbia, Croatia, Cyprus, Czech Republic, El Salvador, Estonia, EU, Finland,
Germany, Hungary, India, Indonesia, Italy, Jamaica, Japan, Kenya, Korea, Latvia, Malaysia, the Netherlands,
Norway, Poland, Singapore, South Africa, Sweden, Taiwan, Turkey, United Kingdom, and USA
31
Australia, Botswana, Brazil, Columbia, Czech Republic, El Salvador, EU, Finland, Germany, Hungary, Italy,
Jamaica, Latvia, Malaysia, the Netherlands, Norway, South Africa, Sweden, United Kingdom, USA
32
Croatia, Estonia, EU, India, Indonesia, Japan (also uses external professionals), Korea, Taiwan, Turkey
22
in trainings on occupational safety and health as well as fire prevention regulation, which are
undertaken by an external resource person.
 Coverage of the induction training Program
For most agencies, the material for the induction program is developed in-house and reviewed at
specific periodic intervals. In Norway and Brazil, the material is reviewed prior to each such course In
Korea the material is reviewed annually, and in India and USA every 2 to 3 years.
The induction program in the
Netherlands provides an overview
of all areas of knowledge within
the agency and matters related to
the organization - its vision, its
oversight style, and the political
environment in which it operates.
For employees that have just
finished university, several skills
training programs (project-based
work, writing, communication
skills) are offered. For all other
employees, knowledge modules,
which provide a more in-depth
look into certain areas of
knowledge, are offered.
Agency Experience 4: US FTC and Induction Training
Program
Induction training is provided by the Office of Personnel
Management for New Supervisors, and is conducted within
the first year of appointment to a supervisory position. The
schedule and training modules were developed with the
vendor who presents the training and in-house subject
matter experts. The entire course content is reviewed every
two or three years. Refresher training on the subject is
offered every 3 years. The modules covered are:
Module 1: The Merit System (Promotion, Job Placement,
and Training Opportunities)
Module
2:
Equal
Employment
Responsibilities and Managing Diversity
Opportunity
Module 3: Performance Management and Awards
Module 4: Coaching and Mentoring Employees
Module 5: Conduct and Performance Based Actions
In India, the induction training
Module 6: Labor Relations
covers the following- working of
Module 7: Handling Grievances and Complaints
the government; salient features
Module 8: Making Selections (Hiring)
of the law; evolution and
Module 9: Leave and Attendance
enforcement of competition law –
a global overview; introduction to
Module 10: Managing Safety and Health
basic
economic
concepts;
The FTC Leadership Framework program includes online
introduction to financial concepts,
training and suggested readings mapped to competencies
associated with each level of leadership (managing self to
advocacy mandate; horizontal
executive).Separately, a training retreat for all new
agreements including cartels;
employees is organised annually. It is titled as ‘FTC
vertical restraints; combination
University’ and is an agency-wide event. This is a low
regulations;
case
studies;
cost/no-cost event, as all the speakers are in-house.
information handling: procedural
aspects, confidentiality, and preparation of official documentation.
In Brazil, the training topics may include antitrust law, enforcement, policy, personnel management,
information security, and logistics amongst others. In Norway, the topics cover the legal and economic
aspects of competition law, international competition regulations and other regulations for the public
sector, and include merger, cartel and abuse of dominance cases. Apart from being covered at the
induction program, individual training programs are also organised on investigative methods and
23
international cooperation. Specially designed courses on media and project management are
organised in-house, but often external specialists are hired for some sessions. The Columbian agency
also covers topics such as laws/ regulations governing public service, regulations regarding
administrative and jurisdictional proceedings, human resources functions labour law, etc. In contrast,
the agency in Korea focuses its training on improving investigation capabilities of its staff.
In the United Kingdom, the topics include an introduction to the civil service, role of CMA, working for
the agency, how corporate service functions work, and an overview of the three-month induction
(including mandatory activities, local induction, and new starter curriculum). They have also
developed an animated film/video on litigation and competition enforcement.
In Finland the materials include case examples. Separate sessions are organised by the administration
and the Competition and Consumer Divisions. In South Africa, the agency provides training on
fundamentals of competition law and related sections of the law based on division it is provided to. It
also includes the investigation manual, outlining the investigation procedures is provided as part of
the induction program. Jamaica’s induction material covers topics relating to the interpretation of the
more frequently used provisions of the legislation and market definition.
In Japan, the training is based on the position of the staff and covers topics such as knowledge required
as a team leader, knowledge required for carrying out management tasks, enhancement of leadership
ability, etc.
In Italy, the material used for the training is developed in-house. The agency has recently updated the
manual for inspections to account for the latest developments in forensic IT. Other topics covered in
the induction training include- internal file management system, IT system, inspections, guidelines for
drafting letters, decisions, request of information, etc. However, the focus is on hands-on or on field
training.
The agency in Taiwan covers comprehensive program which includes all areas of competition law and
economics, investigation skills, financial analysis, and other topics such as consumer protection,
agency ethics, administrative inquisition and criminal investigations.
 Mentoring of new staff
Latvia utilises a mentoring program which focuses on work initiation for new staff, providing necessary
knowledge and proficiency. The mentoring program covers specialised professionals - investigators,
inspectors and legal advisers. The duration of the mentoring program is 4 months. It utilises both
classroom teaching and on the job training. The first two months cover classroom sessions. The
mentor is a qualified and experienced employee or senior expert.
In Brazil, the new employees are put through an informal internship in each unit in order to make
them aware of the subject and related procedures. This contact with the authority’s different areas
also helps the officers and the agency to better define their permanent work unit. The agency has
consistently received positive feedback from the staff on this program.
Australia aims to restart its mentoring programs. In its earlier avatar, the program covered multiple
professional streams and office locations. The aim being to match employees from different areas and
locations. The program itself was divided into specific modules and scheduled meetings amongst its
participants.
24
In Korea, the mentoring program of 6 months is in place for new staff. For staff transferred from other
organizations, it is a 3 month program. Mentors are selected within the division, and mentors support
mentees in terms of adaptation in the organization. Similarly, Germany has a 6 month mentoring
program for new case handlers.
In Taiwan, non-executive employees who join the agency are required to serve at the Service Centre.
To facilitate their working, all new employees are required to complete the ‘Training Program on the
Service Centre’. A new Internship Program for new employees has been recently started. Under this
Internship Program, every newcomer is assigned a senior employee, who will work with the newcomer
to facilitate their work at the Service Centre. The senior employee demonstrates the proper way to
answer phone calls and respond to the persons visiting the centre.
5.5.2) Refresher Courses
24 agencies have refresher program33. 5 agencies have various ongoing programs, but do not have a
specific refresher program34.
Australia provides the same using its online platform. In the United Kingdom, the trainings are usually
made available based on a hierarchy of expertise. They are labelled as- Overview, Deepening and
Practitioner level. The hierarchy of trainings for each work area is made available as part of their
internal online system and can be accessed by employees
In case of El Salvador, while no specific refresher course is organised, experienced employees are
required to attend advanced courses on competition and related matters, suitable for their career
path. The courses aim to cover the latest developments and best practices about the topic, and the
focus is on keeping the staff abreast with the latest developments.
Based on the responses, it was found that 17 agencies35 use both internal and external resources for
the organization of the refresher program, while 9 agencies36 use only internal resources. In the case
of Italy, the refresher courses are mainly conducted by outside experts, who are also responsible for
the development of the material.
India is currently in the process of preparing a curriculum and program design for a refresher course
for its officers.
The US FTC utilises the ‘e-Train’ platform, which is the online portal for training. It includes a database
of thousands of books and courses. The platform can be accessed by the FTC staff on any computer at
any time.
33
Australia, Botswana, Columbia, Croatia, Estonia, EU, Finland, Germany, Hungary, Indonesia, Italy, Jamaica,
Japan, Kenya, Korea, Latvia, Malaysia, the Netherlands, Norway, Poland, Sweden, Taiwan, Turkey, and USA,
34
Brazil, El Salvador, India, South Africa, and United Kingdom
35
Brazil, Caricom, Estonia, EU, Indonesia, Italy, Jamaica, Japan, Kenya, Korea, Latvia, Malaysia, the Netherlands,
Norway, Poland, Taiwan and United Kingdom
36
Australia, Botswana, Columbia, Finland, Germany, Hungary, Sweden, Turkey and USA
25
Key Practices 5: Induction and Refresher Programs
The responses show that induction and refresher courses have been implemented widely
across agencies. These trainings either cover administrative requirements or cover various
aspects of competition policy ,law and enforcement.
The refresher programs provide a wider scope of learning, in keeping with the current work
functions, areas of specialisation etc. An effective training programs takes into account the
needs of an agency and tailor the content to meeting the same.
5.6)
Other Popular Programs
The participating agencies highlighted a number of other specialised programs that have been
incorporated in their training calendars, in response to specific requirements. These programs are
discussed in detail below.
5.6.1) Writing and Drafting Skills
Several agencies offer specific training on writing and drafting skills. Development of this skill is either
undertaken through the induction program or through specific training sessions.
In Italy, the induction material includes guidelines for drafting letters. In the Netherlands, a part of the
induction training program is for employees who have recently completed university, and is devoted
to development of writing and communication skills.
As part of regular training for the year 2016, DG Competition, EU offered 6 sessions on legal drafting.
FTC also offers programs on the subject to its employees. This is also one of the courses provided as
part of technical assistance to other agencies.
The United Kingdom launched a drafting skills program in 2015. This program has consistently received
positive feedback from its participants. Over 300 staff has participated in the program so far. This
program supports staff who draft documents, and those who review the drafting of others and is
specifically focussed on the type of technical documents and reports that the agency produces.
Evaluation of data for the program demonstrates that 91% of managers have seen an improvement
in the effectiveness of drafting in their team(s).
In Estonia, training on drafting of contracts has been provided. In Hong Kong, practical exercises on
drafting notices to produce documents is required to be completed after training.
For the year 2015, Poland focussed on building agency-customer relations (i.e. with parties) and
created a training program towards that end. The training covered written correspondence as well as
direct contacts with the parties. The training equipped the employees with practical tips on drafting
correspondence and raised their awareness of customers’ needs and reactions. The response noted
that the training supports speedy implementation of good practices in the area.
26
5.6.2) Leadership and Development Programs
Leadership, team skills, and personal effectiveness trainings are being undertaken in various forms
across most agencies that have responded.
Botswana has implemented a Leadership Development Programme, in order to enhance leadership,
employee engagement and retain the best talent. As part of the program, an Employee Engagement
Improvement Plan was implemented during the 2015-16 financial year. The objective was to help the
employees to acquire the necessary management and leadership skills that will assist them to respond
effectively to current and future challenges. The executive and middle management underwent oneon-one coaching and mentoring sessions which assisted in unlocking barriers, effective coordination,
personal accountability and commitment to the values, goals and vision of the organisation.
United Kingdom focuses on leadership and management training, as well as the development of
personal effectiveness and ‘softer’ skills for all staff. Training is sourced mainly through ‘Civil Service
Learning’ which provides a curriculum of generic, leadership and management training and other
resources for all civil servants. The HR team also supports career development for their five core
professions (Legal; Economics; Investigator; Delivery; and Remedies, Business and Financial Advice),
and provides access to mentors and high potential development programs.
Indonesia uses private companies specialized in management, motivation, leadership and
communication for such trainings.
South Africa provides such training to entry and middle management to build management
capabilities. It addresses report writing skills, strategic management and leadership, supervision,
negotiation skills and external focus, time management, presentation skills, research, analytical and
investigation skills, performance management and career, counselling-type skills and labour relations.
Australia has a ‘People and Capability Committee’ which focuses on revising the agency’s longer term
strategic workforce plan and overseeing the development of organisational strategies in areas such as
effective leadership, corporate governance processes and effective agency culture. They run an
extensive program of learning and development, both formal and on the job. This includes discipline
specific knowledge, such as the continuous learning and education program, and more general skills
in leadership, personal and professional development, rotational programs etc.
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27
5.6.3) Investigation & Forensic Skills
Training relating to investigation skills
has also been identified by a number of
agencies. In Korea, specific trainings
cover topics on investigative techniques,
electronic
investigation,
financial
statement analysis etc.
Sweden has organised workshops on
investigative tools and has recently
organised ‘Interrogator Training’. Similar
trainings have also been undertaken by
Germany and Norway.
In India, such training has been provided
in collaboration with the European
Union.
Agency Experience 5: Japan and Digital Evidence
Gathering
Japan has introduced a course for its staff on digital
evidence gathering. The training covers the usage of
forensic software that are utilised in the
investigation process including during on-site
inspections.
The program is delivered by in-house experts with
expertise in the use of electronic equipment and
analysis of electromagnetic record by staff. A hands
on approach is adopted for the delivery of the
trainings.
The training has been found to be beneficial by the
staff in the collection of digital evidence in
enforcement cases of the agency.37
5.6.4) Other Programs
 Off-site programs
As part of the 2nd Stage Questionnaire, specific agencies were asked to comment if they organised
offsite programs and the reason for the same.
The Netherlands utilises offsite trainings to facilitate and encourage learning for participants, as an
off-site event reduces distraction from day- to- day work requirements at the office premises.
Though in Hong Kong most programs are
organised onsite, they conducted offsite
training on dawn raids at the premises of
another enforcement agency, which has
facilities for conducting practical search
warrant training activities. This training is
set to be repeated in 2017. An offsite
training program on enforcement
processes and practices was also
conducted prior to the commencement of
agency’s activities.
Agency Experience 6: India and Team Building Offsite Workshop
India initiated the organisation of team retreats in
the year 2011 and they are organised annually.
Two separate programs are undertaken, one
targeted at the professional staff and the other
towards the support staff.
The program is solely aimed at team building and
to encourage communication across teams and
functions.
The program is a 2 to-3 day event and is conducted
over a weekend. It includes a session on
management. Team building games are organised
and a cultural night by the staff.
37
Yuri Nagano, PaRR (2015, October 16) Japanese enforcer increasingly relying on digital forensics, JFTC officials
say. Retrieved from url
28
In case of South Africa, offsite training is undertaken to ensure that participants remain in training
without interruptions such as ad-hoc meetings, responding to emails and taking long lunch, or
attending to office work. The offsite programs were on ‘Abuse of Dominance’ and ‘Litigation Skills’.
Similar reasons for organising offsite trainings have also been given by Sweden. Off-site training is also
organised in instances where training is conducted by experts from outside the agency.
In Norway, a project management course is partly organised offsite. The US FTC annually organises
the FTC University, which is a training retreat for all new employees. Some Bureaus or Offices also
hold internal off-site training for their supervisory or management teams.
Brazil, Columbia, Poland, United Kingdom opt for offsite programs only if it is a necessary requirement
of the program design, or cannot be conducted at agency premises. For instance, in the United
Kingdom, the Association of Project Manager Qualification (APMQ) training was a five day program
that was organised for 16 members of staff and was delivered at the supplier’s premises. The reason
for organising off-site training on this occasion was because of the need for delegates to be away from
the office in order to focus on the course content (as it was an intensive course) and also from a
logistics perspective to accommodate the participants in a dedicated room within the CMA’s premises.
In Poland, the agency organises off-site trainings when equipment which is not available at the
premises is required.
Amongst the agencies that do not have any off-site training, the Latvian authority has pointed the
reason as prohibition on public authorities from organising such trainings due to high costs associated
with them. The agency in Taiwan has also cited budget constraints as a reason for not organising offsite training.
 Public Service Training Institutions
In United Kingdom, the agency staff has access to the Civil Service Learning (CSL), which provides
online learning and development for all civil servants. The curriculum covers the core skills that civil
servants need to provide public services. Similarly, staff in Australia has access to the resources of the
Australia Public Service Commission.
Staff in Colombia receive training from different government organizations, such as the National
Learning Service or other technical entities that might share knowledge on specific areas of interest.
In Singapore, officers participate in the ‘Governance and Leadership Programme’ and the ‘Economics
for Policy Analysts Programme’ which are conducted by the Civil Service College.
In Germany, case handlers and staff participate in training organized by the Federal Academy of Public
Administration, which is the central advanced training institution for the federal administration.
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29
Case Study 2: Australia
Professional skill training, including learning and development (L&D) is the responsibility of the
People and Culture Branch at the Australian Competition and Consumer Commission (ACCC).
Currently this responsibility lies with two persons within this branch.
Separately, each division at the ACCC has also designated administrative personnel responsible for
co-ordinating L&D activities. The divisional L&D staff is responsible for administering divisional
L&D budgets. Within the ACCC, 40% of the L&D budget is centrally administered, while the
remaining 60% is administered by the divisions to address specific needs relating to technical skills.
Earlier the budget allocation vested 60% centrally; this was changed to allow the divisions to widen
the scope of divisional needs being addressed.
The program for L&D includes both formal and on-the-job training. This includes discipline specific
knowledge e.g., continuous learning and education programs for legal professionals, and more general
skills in leadership, personal and professional development, rotational programs etc. Specific
assistance is also provided to support higher learning by staff.
The training needs are identified as part of the annual individual performance appraisal. The staff
discusses their needs, agreed tasks and behaviour with the supervisor, and a consensus is reached as
to the direction for the year. A review is undertaken after 6 months, to track the development needs.
The identified needs are thereafter consolidated and taken into account for planning programs for the
coming year, both at a divisional level as well as the central level.
The ACCC has recently undertaken a knowledge management program as part of its business risk
management initiative. The purpose of the program is to ensure that institutional memory and
knowledge is maintained. Programs have been initiated for sharing of knowledge such as community
practices around important identified areas. The business units then share their knowledge and issues
in such identified areas. Other areas include, documentation of processes, record management, etc.
E-learning
The induction and refresher courses are provided online, using e-learning modules. The use of elearning systems has become more prevalent since 2012. The e-learning programs are primarily aimed
at communicating basic areas of knowledge to the participants. Most modules contain short quizzes
for re-emphasising the learning.
The responsibility for development of modules lies with the division, and it is on their initiative that
new modules are prepared, reviewed and incorporated. The key role played by the division is
reflective of the fact that they are best suited to gauge training and knowledge requirements.
New employees receive an e-mail shortly after joining, which provides a link to the relevant e-learning
module. To complement the e-learning modules, more in-depth programs with face-to- face teaching
are organised.
A software program has been procured and is utilised for providing the e-learning. In addition, a
software which converts presentations into simple e-learning products are also used. The development
of most of the modules is undertaken primarily in-house. The e-leaning module is currently
administered by two persons, including an IT person with skills in graphic designing.
The adoption of e-learning modules by the employees has been smooth, and the problems faced were
mostly technical and IT related.
Mentoring Program
The re-introduction of a mentoring scheme is currently under review. Earlier, 32 mentor-mentee pairs
were identified. To join the program, employees were required to complete an application form, and
they were matched with a mentor across locations and technical areas.
Workshops were organised on the following areas:
30
Career
Leadership & Management (strategic thinking workshop)
Communication with employees and reflections on the program.
The program review illustrated a very favourable response.
Mental health and overcoming bias
The agency has, on its own initiative, introduced trainings for mental health awareness which are
conducted with all divisions. The sessions are designed to increase awareness about mental health
illnesses in general, and anxiety and depression specifically- the two most prevalent forms of mental
health issues in the work place.
Apart from this, training for overcoming bias is also provided as part of the work place diversity
policy. The same focuses on identifying and overcoming unconscious bias. These trainings are part
of the agency-wide strategy to harness the diversity of experience, backgrounds and perspectives of
both men and women, and bring this to the decision-making process.
These initiatives are supported by other departmental measures such as flexible and reduced hours,
healthy life style related expense etc.
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31
6) Program Design and Effectiveness
The designing of training and the measurement of their effectiveness are crucial to the provision of
relevant, timely and useful training and capacity building programs. This section will discuss the
method that are being adopted by the participating agencies on the subject.
The responses provided by the competition agencies indicate that agencies prefer to employ a variety
of methods to impart training to their staff. These include a combination of theoretical as well as
practical methods/ tools and can be in the form of lectures, case studies based on concrete examples,
problem solving, simulation interviews, peer-to-peer discussions, role plays, etc. The responses reveal
that most agencies use a combination of at least two of the above mentioned methods.
Competition agencies in countries such as Australia, Japan, Kenya, Malaysia, the Netherlands, Norway,
Poland, South Africa and USA, employ all forms of training methods. In a majority of cases, agencies
use more than one method of training. In only a very few jurisdictions, the agencies use a single
method for training its staff. For example, Croatia uses only case studies to train its staff while
Indonesia conducts role plays for its staff as a method to provide training. Bulgaria has stated that the
choice of its training method depends on the nature of the topic.
6.1.1) Methods utilized
 Lectures
The responses provided by the competition agencies have revealed that lectures are the most
prevalent method of training. The study shows that 30 out of 36 responding agencies use lectures as
a training method.38 The popularity of this method could be attributed to the ease with which it can
be implemented. In this method, information and knowledge can be shared with a large group of
people in a time efficient and cost effective manner.
This method is widely used irrespective of the size and age of the agency. For instance, lectures are
used to train staff in mature and larger agencies like Australia, EU, Germany, Japan, United Kingdom
and the USA but also in newer and smaller agencies such as CARICOM, Hong Kong, Kenya, Malaysia,
and the Netherlands, etc.
 Case studies
The ‘case study’ method is another popular method of training that is employed by the agencies. This
method provides descriptive situations which stimulate trainees to make decisions. As a training tool,
38
Australia, Botswana, Brazil, CARICOM, Columbia, El Salvador, Estonia, European Union (DG COMP), Finland,
Germany, Hong Kong, Hungary, India, Indonesia, Italy, Japan, Kenya, Latvia, Malaysia, the Netherlands, Norway,
Poland, Singapore, South Africa, Sweden, Taiwan, Trinidad & Tobago, Turkey, United Kingdom, and USA
32
the case study method can be used to develop decision-making skills, enhance team spirit, improve
communication and interpersonal skills and strengthen the analytical skills of trainees.39
Similar to the ‘lectures’ method, the responses have revealed that 30 out of 36 responding agencies
use case studies as a training method.40 Further, almost all agencies that use lectures to train their
staff also use case studies as a training method.
 Simulation exercises and Role plays
Simulation is a technique for practice and learning by creating scenarios that allow trainees to undergo
realistic experiences. The advantage of training by simulation is that the agencies’ staff can be better
prepared to deal with a real-life situation after having experienced the same during a training session.
The responses reveal that 20 out of 36 agencies, i.e. a little over half the agencies, have some form of
simulation exercise as a method of training its staff.41 There is no specific trend that can be discerned
as to which types of agencies in terms of age and strength employ simulation exercises as a training
method. A number of mature agencies such as those in Australia, United Kingdom and the USA use
simulation training methods, as do newer jurisdictions such as Hong Kong, Malaysia and Trinidad &
Tobago.
Role plays provide an excellent platform for the agencies to help their staff experience a different
perspective. They create situations where the participants are placed in unfamiliar situations which
help them understand a case from another view point. Role playing exercises could include activities
on negotiations, witness interviews, cross-examination, etc. The responses have revealed that 16
agencies out of 36 have role plays as a training method.42
 Peer to peer discussions
The peer-to-peer discussions involve people with similar professional background and experiences to
interact with one another and exchange ideas, know-how, feedback, etc. These can be used to
supplement traditional methods of learning by allowing the agencies’ staff to discuss current, real-life
challenges, reflect on specific cases, and exchange feedback with others in similar situations.
The peer-to-peer training approach has been adopted and used extensively by a large number of
agencies. The responses have revealed that out of the 36 responding agencies, 22 agencies have
employed this method for training.43
39
Dr. Kirti Shivakumar, “The Case Study Method in Training and Management Education”, November 2012
40
Australia, Bostwana, Brazil, CARICOM, Croatia, El Salvador, Estonia, EU, Finland, Germany, Hong Kong, India,
Indonesia, Italy, Jamaica, Japan, Kenya, Latvia, Malaysia, the Netherlands, Norway, Poland, Singapore, South
Africa, Sweden, Taiwan, Trinidad & Tobago, Turkey, United Kingdom and USA
41
Australia, Bostwana, Brazil, CARICOM, El Salvador, Finland, Hong Kong, Indonesia, Jamaica, Japan,Kenya,
Latvia, Malaysia, the Netherlands, Norway, Poland, South Africa, Trinidad & Tobago, United Kingdom and USA
42
Australia, CARICOM, Estonia, European Union (DG Comp), Hungary, Indonesia, Jamaica, Japan, Kenya,
Malaysia, the Netherlands, Norway, Poland, South Africa, United Kingdom, and USA
43
Australia, Bostwana, CARICOM, Columbia, El Salvador, Estonia, Finland, Germany, Honk Kong, India, Indonesia,
Italy, Japan, Kenya, Malaysia, the Netherlands, Norway, Poland, Singapore, South Africa, Taiwan and USA
33
In the United Kingdom, the Know-How Team runs knowledge sharing sessions, which focuses on
lessons learned from cases and projects. Usually, at least one talk is scheduled every two weeks, and
often more frequently.
In South Africa, informal sessions between staff members (Kom Praat Saam) are organised at the
request of the employees. These sessions are organised for discussing any specific topic or for
providing feedback. Usually, at least 2 sessions are organised in a month on Tuesdays.
In India, peer-to-peer sessions are organised for discussing specific topics on competition law or
economics. These sessions are usually organised monthly, or once every two months.
In Japan, brown bag lunches are used for discussing recent market developments or recent issues
regarding competition policies.
Key Practices 6: Variety of programs, and use of unstructured sessions
Effective training programs use a variety of communication and format vehicles; structured
and unstructured, lecture and role playing, etc. Utilisation of such different structures
ensures that agency needs are more closely met. Further, a variety of formats address
different needs of the employees. Further, a variety of formats can also be utilised to
reinforce key messages.
The response shows that most agencies, irrespective of age and size utilise unstructured
sessions. Such internal discussions centred on recent international developments,
publications, and case studies provide a low cost means of building familiarity with
international literature and trends, while simultaneously supporting transfer of knowledge
amongst employees. These sessions should be specifically earmarked in the calendar to
ensure regularity and participation.
6.2)
Domestic Resources Used
The responses show that in-house resources form the bedrock of training and capacity building
activities being undertaken by the agencies. The induction and refresher programs are usually
designed and delivered in-house with limited participation by external organisations or individuals.
When external resources are used, the responses indicate that they are usually academic institutions
or other government agencies. Discussed below in detail is their nature of involvement.
6.2.1) Academic institutions
25 agencies are collaborating with specialized educational institutions wherein experts/ academicians
from such jurisdictions deliver lectures and conduct workshops.44
44
Australia, Brazil, Cyprus, Croatia, Estonia, Finland, El Salvador, Hungary, Hong Kong, Indonesia, Italy, Japan,
Kenya, Korea, Malaysia, the Netherlands,, South Africa, Singapore, Sweden, Taiwan Trinidad & Tobago, Turkey,
U.K and India
34
Estonia has entered into a memorandum of understanding (MoU) with Tallinn University of
Technology and Tartu University for utilising the professional training that are offered by the said
universities. The Netherlands has entered into an agreement with Neyenrode Business School.
India has entered into MoUs with National Law University, Orissa, the Institute of Company Secretaries
and the Institute of Cost Accountants of India. The aim is to organise mutually beneficial workshops,
seminars, conferences etc.
Norway has entered into an agreement with the Bergen Centre for Competition Law and Economics
with the aim to foster research and related training. Towards this end, the agency provides funding.
The Chief Economist’s staff cooperates with the University of Bergen on a practical course in research
related to competition economics. The agency also organises an annual conference on competition
law.
Several academic institutions are utilised by the Columbian agency for providing training to its staff.45
The agency also draws upon the experience of several private sector institutions.
Poland has concluded an agreement with the Centre for Antitrust and Regulatory Studies. In
November and December 2015, the Centre organised workshops for judges and agency staff on the
application of competition law. Similar events were also scheduled in 2016.
These collaborations can be seen to serve a dual purpose, the first being the development of staff
capacity, and the second being the development of expertise and resources outside the agency.
6.2.2) Government Agencies
The responses to the question relating to MoUs that have been entered into by the agencies indicate
that most agencies have entered into agreements with other governmental departments and sectoral
regulators.
In the United Kingdom, the agency has MoUs with the economic sector regulators who share
concurrent powers with it to enforce competition law in the United Kingdom. These MoUs include
provisions for sharing of information, know-how, sharing experience, secondment of staff and mutual
support. Where appropriate, officials from the sectoral regulators are also invited to Competition and
Markets Authority (CMA) Academy/Know-how talks. CMA Learning is currently in the early planning
stages of a reciprocal agreement to share learning and training resources with the sectoral regulators
and other central government departments.
Poland has entered into cooperation agreements with the National Audit Office, the Polish Financial
Supervision Authority, the National Security Agency and the General Prosecution of the Republic of
Poland.
EL Salvador has entered into 17 such agreements with governmental departments and sectoral
regulators. Australia has also similarly entered into such agreements. Malaysia has entered into an
45
National University of Columbia, Javeriana University, Externado University, Los Andes University, Rosario
University, and Unipanamericana University
35
agreement with its Central Bank. Turkey has entered into 3 such agreements with other national
regulators.
Separately, several agencies also utilise the training provided by the public sector or governmental
authorities for the provision of training to its staff.46
Staff in Columbia has received training from the Columbian Institute of Technical Standards and the
Office of the Ombudsman, amongst others.
Case Study 3: United Kingdom
CMA Learning is the department responsible for training and capacity building within the
organisations. Professional skills training is generally delivered by CMA staff, taking advantage
of the in-house expertise. External providers and academics are utilised on a need basis.
CMA Academy (sub-division of CMA Learning) is responsible for the development and
delivery of core and specialist professional training across all work areas in the agency. In 2015,
the CMA Academy worked with subject matter leads across the agency to refresh its entire
curriculum. Training is available to staff at all levels. The CMA Academy Curriculum provides
a suite of learning resources at three levels of expertise: Overview, Deepening and
Practitioner.
All new starters to the organisation are invited to attend the learning offered at the ‘Overview’
level. The training material is primarily developed and delivered in-house. Staff seeking to learn
more about an area of the organisation or to broaden their understanding of a particular Tool,
are able to attend more detailed learning available under the ‘Deepening’ level. Specialists
within their field, are encouraged to explore the ‘Practitioner’ level training. Each course in
Overview curriculum is delivered once per quarter; other training may only be provided once or
twice each year.
The Overview material is reviewed at least annually. Topics covered under Overview include an introduction to the Civil Service and the role of the CMA, working for the CMA, how
Corporate Service functions work, and an overview of the three-month CMA induction
(including mandatory activities, local induction, and wider Academy new starter curriculum).
The CMA Academy has facilitated distinguished speakers from a number of foreign agencies
through Distinguished Speaker sessions. The CMA Know-How team runs frequent knowledge
sharing sessions focusing on lessons learned from cases and projects. The Know-How program
provides for at least one talk every two weeks.
Follow-up support is most commonly handled through:

regular discussions between staff and their managers on learning and development

the use of informal channels such as team meetings and knowledge sharing fora to
further foster continuing professional development and intellectual curiosity

other development schemes such as mentoring or cross-government support networks.
Feedback is collected after the training to understand whether the training achieved its
objectives; whether they would recommend the training to their colleagues and whether the
content was pitched at the right level. A generic evaluation questionnaire is sent out to all
attendees of training and the feedback is discussed with the trainers at a wash-up session so that
46
Australia, Germany, United Kingdom, Singapore, and Poland,
36
any feedback can be addressed in future sessions. A more in-depth evaluation is undertaken for
some programs.
Developing In-house trainers
To identify in-house trainers, persons are designated as ‘Champions’ or as ‘Subject Matter
Leads’ at the divisional level. These persons have the responsibility for conducting trains in
additions to their divisional responsibilities. The amount of time to be spent on training by the
persons is arrived on discussion with the supervisor/ reporting officer.
The identified persons are then provided training and resources to be able to effectively function
as a trainer. Trainings relate to topics such as- Training Design, Presentation Design, and
Presenter Training etc.
In addition a detailed document titled ‘Training Design-Step by Step Guide’ has been
developed in-house for use by trainers. The guide maps the process of training delivery and
provides structures and templates for each stage. The guide details various aspect of training
delivery such as identification of information types, identification of learning objective,
organisation of content etc. For each stage it identifies the document templates that are useful.
The guide also provides links to a variety of templates for aide memoire, case study handout,
course brief, referral guide etc.
A suite of materials has been developed in order to support staff to develop and deliver training.
The reason for the same being:
To provide templates for staff to develop training content which would both standardise the
look, feel and structure of training
Reduce the amount of effort required by staff involved in training development
Widen the group of facilitators. There are trainer notes available for each and the same is made
available to new facilitators. This has led to an increase in the number of facilitators.
An intranet page with guidance on developing training content is available to staff across the
agency.
Training outside the Agency
The staff also has access to Civil Service Learning (CSL) programs. CSL is the learning provider
for all for all civil servants in United Kingdom. The curriculum covers the core skills that civil
servants need. The programs from CSL, utilised by CMA range from leadership and
management, to personal effectiveness and soft skills etc.
Certain specified professional streams are identified as cross-government professions under
CSL e.g. project delivery, economists, lawyers etc., and those professions foster communities
of practice which offer additional support to staff for instance through mentoring across the
profession or additional technical training specific to that profession. Each profession has
learning opportunities, standards, and competencies to help with career development. For
example, the governments Legal Department provides a program of training available to all
government lawyers on cross-cutting legal issues including judicial review, legislative drafting
and information law.
The agency funds staff to attend open external training courses where there is no internal or CSL
equivalent. The agency supports a small number of staff to complete further education such as
diplomas and MScs where these support the individual’s professional development needs and
will also be of benefit to the agency. Individual applicants decide which type of course they
wish to complete. However, long term full-time courses are only considered in exceptional
circumstances. Distance learning has historically been the most popular means of undertaking
long term study.
37
The CMA offers access to an external mentoring program across a network of United Kingdom
regulators (including e.g. Ofgem, ORR, Ofwat, the Electoral Commission). The staff is matched
across organisations, giving staff the opportunity to work with a mentor or mentee from another
organisation. The agency also facilitates mentoring within the organisation.
Going Forward
The agency intends to increase the resources available online to staff for accessing training
through e-learning modules. They have recently developed an animated film on the subject of
Criminal Disclosure and two ‘talking head’ videos providing thoughts on Litigation and
Competition Enforcement.
6.3)
Sponsoring of employees
One of the methods being utilised by the competition authorities for building the staff capacity is
through sponsorship. Of the 36 surveyed jurisdictions, it was found that 22 jurisdictions provided
sponsorships to their staff for pursuing courses.47 Trinidad & Tobago are currently considering the
sponsorship method.
Amongst these 22 jurisdictions, 14 jurisdictions sponsored either correspondence/ online or part-time
programs for its staff. 10 jurisdictions sponsored full-time courses,48 and of these Indonesia, Korea,
and Turkey offered only full-time programs. 4 jurisdictions sponsored all types of programs be they
correspondence/ online, part-time or full time.49
CARICOM stated that most staff members enrol in self-funded post graduate distance learning courses
in competition law and policy. Columbia has an employee fund, which is occasionally used by
employees to obtain loans to further their education.
Key Practices 7: Utilization of External Resources
Agencies may consider wider use of external programs, to support and supplement existing
internal programs. Some areas that can be considered are:

Usage of programs offered by academic institutions opportunities

Training and capacity building provided by other governmental entities

Opportunities with international counterparts or international organizations, such as
joint training or experience sharing
Budget permitting, utilising correspondence, online or part-time programs as part of training
and capacity building programs allows for a more in-depth approach to the subject. Further,
participating employees can be used as trainers on completion of their programs. Such
programs can also be included as part of the retention strategy of the organisation.
47
Australia, Botswana, Brazil, CARICOM, European Union, Finland, Hong Kong, Hungary, India, Indonesia, Japan,
Kenya, Korea, Latvia, Malaysia, the Netherlands, Norway, Singapore, South Africa, Turkey, United Kingdom and
USA
48
Indonesia, Japan, Kenya, Korea, Latvia, Malaysia, the Netherlands, Singapore, Turkey, and USA
49
Kenya, Latvia, Japan, and Singapore.
38
6.4)
Measuring effectiveness
Measurement of effectiveness is crucial for gauging audience involvement and for seeking reactions
of the participants. The responses received can be used to identify areas of improvement, and for
providing feedback to the trainers.
In this regard, the questionnaire specifically sought whether feedback is taken from participants. In
response to this question, 33 authorities50 replied that they collected feedback from participants after
each training in order to determine the training’s effectiveness. Two authorities51 indicated that they
do not collect such feedback.
Of the authorities collecting feedback, 18 collected
such feedback anonymously52 and 13 did not53.
Agency Experience 7: Poland and
Measurement of Effectiveness
Further information was sought as to the metrics
against which participant’s training effectiveness is
measured. The metrics identified were:
In Poland, training effectiveness is
measured by means of surveys circulated
among participants. In cases of major
training projects, in addition to surveys, the
agency tracks the implementation of the
training goals.
i.
Do the participants use any of the ideas or
techniques they learned or were exposed
to?
ii.
Are they more open to innovation in their
work than before?
iii.
Does training improve their confidence or
their feeling of competency?
iv.
Would they consider the time spent on it
as valuable part of their jobs?
v.
What would they like to see added or
removed in the future training?
28 authorities utilised at least some of these
aspects, and 7 of them took into account all of
them.54 On the issue of staff response to trainings,
The agency took part in a project launched
by the Chancellery of the Prime Minister
on – ‘Processes, Goals, and Competences –
integrated management of a Public
Authority’. Under the project the agency’s
management programs were reviewed by a
project-team comprising of high-level
officials, and areas needing improvement
were identified. An important aspect of the
project was the introduction of a quarterly
‘Performance Review’ for employees.
As an outcome of the review, the work of
each staff member is discussed with the
employee and a detailed plan of individual
development is created.
50
Australia, Brazil, Bulgaria, Botswana, Columbia, Czech Republic, El Salvador, Estonia, the European Union,
Finland, Germany, Hungary, Hong-Kong, India, Indonesia, Italy, Jamaica, Japan, Kenya, Republic of Korea, Latvia,
Malaysia, the Netherlands, Norway, Poland, Singapore, South Africa, Sweden, Taiwan, Trinidad & Tobago,
Turkey, the United Kingdom, the United States of America.
51
Cyprus and Croatia. Croatia previously collected such feedback but has stopped doing so.
52
Australia, Brazil, Estonia, the EU, Hungary, India, Indonesia, Jamaica, Hong-Kong, Republic of Korea, Latvia, the
Netherlands, Poland, South Africa, Sweden, Taiwan, Turkey, the USA.
53
Bulgaria, Botswana, Columbia, Cyprus, El Salvador, Finland, Italy, Japan, Kenya, Malaysia, Norway, Singapore,
the United Kingdom.
54
Columbia, Estonia, Germany, Japan, the Netherlands, Taiwan, the USA.
39
and the utilization of techniques learnt in day to day work, the agencies state that they were satisfied
with the staff reception of the learnings.
In response to the question whether staff members engage in discussions relating to training issues,
whether with their superiors or one another, 30 responded positively. Of those 30 responses, 20
agencies stated that such discussions were both of an informal and a formal nature55, 9 responses
stated that only informal discussions occurred,56 and Kenya indicated that only formal discussions took
place.
6.4.1) Feedback and Follow up support
Most agencies utilise both formal and informal methods for seeking feedback. The responses also
indicate that the participants have been uniformly found to be receptive of techniques and
methodologies used for training and capacity building.
In Columbia, the determination of the success of the training program is based on the application of
the knowledge acquired in the daily work of the participants. The agency has developed a detailed
document on training proceedings (Procedimiento Capacitación GT02-P06), which is utilised by the
human resources department to undertake satisfaction evaluations of the staff regarding the content
of the courses, their expectations and speakers’ quality.
In South Africa, there exists a performance management review process where employee and
manager discuss training needs to address performance gaps and future needs. This information is
recorded on the employee’s personal development plan that is signed by the employee and manager.
As regards specific trainings, feedback is sought from the facilitator, participants and participant’s
managers.
The US FTC mainly utilises Level 1 and Level 2 evaluations based on the ‘Kirkpatrick Model’ for
evaluation of trainings and is working to implement some Level 3 evaluations. Under this model, four
levels are designed as a sequence of ways to evaluate training programs, which are Reaction –what
participants thought and felt about the training, Learning – the resulting increase in knowledge and/or
skills, and change in attitudes, Behavior –transfer of knowledge, skills, and/or attitudes from
classroom to the job, and Results – the final results that occurred because of attendance and
participation in a training program.
In the United Kingdom, the feedback questionnaire seeks information on whether the training
achieved its objectives, whether the content was pitched at the right level, and whether the
participant would recommend the training to a colleague. Additionally, on the conclusion of a training,
the feedback received is discussed with the trainers at a wash-up session, so that any shortcomings
can be addressed in future session.
55
Australia, Cyprus, Czech Republic, El Salvador, Estonia, the EU, Germany, Jamaica, Latvia, Malaysia, the
Netherlands, Norway, Poland, Singapore, South Africa, Taiwan, Trinidad & Tobago, Turkey, the United Kingdom,
the USA.
56
Brazil, Bulgaria, Columbia, Croatia, Finland, Hong-Kong, Italy, Japan, Republic of Korea.
40
In Brazil, the effectiveness of trainings is measured through questionnaires and assessment surveys
on the trainee’s perceptions about the training, the instructors’ ability, the quality and accuracy of the
content, the appropriateness of the objectives and the structure of the program.
Germany, Korea and Taiwan monitor success of programs through participant surveys. Kenya uses
informal evaluation of performance before and after training program, to ascertain the level of success
that such training programs bring in developing the skills of the agency staff.
In Latvia, informal feedback is sought from the employee, employee’s mentor and reporting senior to
measure effectiveness.
Japan conducts ‘proficiency’ examinations in relation to some trainings. It also conducts examinations
in legal and economics training, which is held at the end of the staff training program. The Personnel
Division notifies the results of the examination not only to the staff taking examination but also to
their manager.
In Jamaica, staff is required to submit a report that summarizes the key learnings as well as make
presentations to other members of the agency. Managers use standardized benchmarks to assess the
presentation.
 Follow-up to training
In response to the question whether they provide follow-up support to improve staff efficiency, 25
agencies replied that they did.57
For Germany, Korea, Taiwan and the United Kingdom, this primarily took the form of a mentoring
scheme, whereby staff members were assigned a more senior member of staff to provide them with
guidance.
Jamaica said that it held monthly internal training meetings where past training outcomes could be
discussed and future training planned. Japan replied that it organised examinations to test participants
on their economics and legal training, the results of which are used in personnel evaluations.
In South Africa, face-to-face group feedback sessions were organised post-training to discuss the
training session. In the USA, participants in training sessions were encouraged to also take advantage
of follow-up training which is made available online. They are also provided with a list of reading
materials.
The Norwegian authority explained that they did not provide follow-up specific to training sessions,
but that staff efficiency was constantly assessed.
57
Australia, Botswana, Brazil, Bulgaria, Columbia, Croatia, Estonia, the EU, Finland, Germany, Hong-Kong,
Jamaica, Japan, Kenya, Latvia, Malaysia, the Netherlands, Poland, Singapore, South Africa, Taiwan, Trinidad,
Turkey, the United Kingdom, the USA.
41
Key Practices 8: Training Effectiveness
On conclusion of a training or capacity building program, collecting participant response
and suggestions for the program help in continuously and regularly improving programs. The
response from the participants can be collected either through a questionnaire or through
informal group discussion.
The feedback collected should be taken into account while designing future programs. In
addition, the feedback received should be discussed with the training provider.
6.5)
Problems Faced
A specific question was asked regarding the problems that may be faced by agencies with respect to
training and capacity building. By far the most prevalent problem that has been identified is cost. 25
agencies stated that cost was one of the main issues hindering capacity building and training58. Of the
25 agencies, 5 agencies59 consider cost as the only factor causing impediment to achieving such
programs, while the remaining 20 regard a multitude of factors for the same, with cost being one of
the many factors. It should be noted that 11 agencies60 did not identify cost as a factor.
Scarcity of time is the second major reason for constraining capacity building practices. Out of 34
agencies, 20 competition agencies asserted that this was also one of the factors hampering training
and capacity building by the competition agencies.
Other factors which may be read into, together, are shortage of staff (11 out of 34 agencies) capacity
of workforce (7 out of 34 agencies). 9 agencies responded that learning by doing is more efficient
than the organization of trainings.
United Kingdom response states that its model for training is largely based on the use of internal staff
for both the development and delivery of training and that one particular challenge has been staff
capacity to contribute to training alongside their busy frontline jobs. To overcome this challenge, it is
developing a suite of trainer support materials so that training could be delivered by a wider group of
staff. The CMA has also begun to explore the use of digital learning in order to extend reach and
provide learning outside the face-to-face schedule.
The competition agencies of Indonesia, Kenya and Latvia have marked lack of in-house or external
experts in the field as a factor which affect capacity building.
Hong Kong has highlighted the problem that was faced by it at the time of commencement of
operation. At the time of commencement, only a few of its staff members had a background in
competition law. In particular the junior staff who are the front line in handling complaints and
58
Australia, Botswana, Brazil, Bulgaria, CARICOM, Columbia, Croatia, Cyprus, Czech Republic, El Salvador,
Estonia, Hungary, Indonesia, India, Italy, Jamaica, Kenya, Latvia, Malaysia, Norway, Poland, Singapore, Taiwan,
Turkey, United States of America.
59
Botswana, Bulgaria, CARICOM, Croatia, Italy.
60
Namely Finland, Germany, Hong Kong, Japan, Korea, the Netherlands, Sweden, Trinidad & Tobago, United
Kingdom, South Africa, European Union.
42
inquiries had little knowledge of competition matters. This limited their ability to give an immediate
response without first discussing the issue with more experienced staff. To overcome this problem,
the agency has encouraged staff participation in international events.
They have also found on the job training to be useful for the junior staff. Over the past year having
dealt with more than 1800 inquiries and complaints, the improvement in the functioning of the junior
staff is apparent. The staff has been found to be more confident and competent in undertaking a
preliminary analysis of the issues raised in calls and emails. The nature of questions asked also reflects
the higher level of understanding gained over the year.
6.5.1) Sources of agency funding
A separate section of the 1st Stage Questionnaire sought information regarding source of income and
the spending on training and capacity building. The responses indicate that government grants form
the main source of funds for a majority of the agencies. 29 out of 36 agencies receive most of the
budgeted amount in the form of grants.61Of the 29 agencies, 20 rely solely on such grants for their
funding.62
2 jurisdictions namely Italy and Turkey do not depend on government grants. Under article 39(c) of
the Turkish Competition Act, the authority receives 0.04 % (four per ten thousand) of the capital of all
newly established partnerships, incorporated and limited companies. The amount payable increases
commensurately in case of increase in capital.
6.5.2) Expenditure on training
On the question of percentage of expenditure on training out of total expenditure in the last financial
year, responses were received from 26 out of 36 agencies.
This information highlights that 11 agencies spend a very small amount of 0 to 1% of their total
expenditure on training. Most agencies expend less than 5% of their total expenditure on training and
capacity building. No significant trend can be discerned with respect to such spending.
Italy has introduced a new form of funding replacing all earlier sources of funding in the year 2013.
.
Towards this, Law Decree n. 1/2012 was brought into effect. The new system is based on a
mandatory contribution of 0.06 per thousand, by companies incorporated in Italy whose turnover
exceeds a threshold of EUR 50 million. The revenues from this contribution replace all previous forms
of funding (merger fees and public budget). At the time of its introduction mandatory contribution
was 0.08 per thousand. In the 2014, the agency reduced the contribution levy to its current level of
0.06 per thousand, following a strict spending review process. The obligation covers both public and
61
Australia, Botswana, Brazil Columbia, CARICOM, Croatia, Cyprus, Czech Republic, El Salvador, Estonia, Finland,
Germany, Hong Kong, Hungary, India, Japan, Kenya, Latvia, Malaysia, the Netherlands, Norway, Poland,
Singapore, South Africa, Sweden, Taiwan, Trinidad & Tobago, United Kingdom, and USA
62
Australia, Brazil, Columbia, Croatia, Cyprus, Czech Republic, El Salvador, Estonia, Germany, Japan, Latvia, the
Netherlands, Norway, Poland, Singapore, Sweden, Taiwan, Trinidad & Tobago, United Kingdom, and USA
43
private limited companies, and social-cooperatives are required to pay the contribution. In the case
of consortia or joint venture companies, the contribution is to be paid only by the consortia. Foreign
companies are required to pay the contribution only if they have offices in Italy with permanent and
mandatory registration with the Register of Companies.63
6.6)
Role of International co-operation
The trend of increasing international co-operation resonates in the findings of this study. Responses
demonstrate that competition regulators engage in varying forms of international co-operation
including through bilateral/multilateral agreements with foreign competition agencies, international
organisations, and foreign universities. In fact, all 36 competition agencies participating in this study
have indicated that they engage in some degree of international co-operation. The responses
identified certain important means of international co-operation i.e. engagement with International
Competition Network, Organization of Economic Co-operation and Development, collaboration with
‘other’ institutions, including administrative agencies, foreign competition agencies, and non-binding
memorandum of understanding (MoU) with partner agencies.
The results indicate that there is a consistent effort by the agencies to engage with specialized
international bodies through bilateral agreements and MoUs for developing joint training / capacity
building programs and skill development programs.
Additionally, 29 agencies64, confirmed their participation in training courses provided by officers of
foreign agencies. The study also indicates that 28 agencies have sent their officers for imparting
training abroad in the last two financial years65.
6.6.1) Bilateral arrangements
A number of competition agencies implement co-operation arrangements by executing an MoU.
These MoUs are mostly bilateral, and are concluded at the initiative of the respective competition
authorities. The terms and scope of these MoUs reflect their specific co-operation needs, which are
driven by the experience of the agency and the complexity of cases being handled by them.
63
PWC, New mechanisms for financing the Italian Competition Authority: the annual contribution on capital
companies (2012) accessed on 27 February 2017. Also see Agency FAQ, accessed on 27 February 2017 available
at http://www.agcm.it/en/contribution_cat/133-faq/2241-faq-%E2%80%93-answers-to-the-frequently-askedquestions.html
64
South Africa, Australia, Botswana, Brazil, Bulgaria, CARICOM, Columbia, Croatia, Cyprus, Czech Republic, El
Salvador, Estonia, Finland, Hong Kong, Hungary, India, Indonesia, Italy, Jamaica, Kenya, Korea, Latvia, Malaysia,
the Netherlands, Norway, Poland, Singapore, Taiwan, and Turkey.
65
Australia, Botswana, Brazil, CARICOM, Columbia, Croatia, DG Comp, El Salvador, Estonia, Germany, Indonesia,
Italy, Jamaica, Japan, Kenya, Korea, Latvia, Malaysia, the Netherlands, Norway, Poland, Singapore, South Africa,
Sweden, Taiwan, Turkey and United Kingdom, USA.
44
The responses show that 26 agencies have entered into MoUs,66 with partner agencies, foreign
educational institutions and other administrative bodies. Most agency-to-agency MoUs establish a
basic framework of continuous dialogue between the two competition authorities and typically
include provisions for procedural transparency, effective inter-agency communication, technical cooperation, including organising or participating in conferences, seminars, workshops or training
courses, exchange of personnel or study trips, and providing assistance in advocacy activities. The
framework provided by bilateral MoUs among competition regulators encourages technical cooperation in the nature of workshops, conferences etc. as can be seen from the responses of 13
countries.67
6.6.2) Multilateral Agreements & organisations
Apart from bilateral MoUs, the
responses also show that the
agencies have entered into
multilateral
MoUs.
Some
important examples are the MoUs
entered into between the BRICS
competition
authorities,
the
European Competition Network
(ECN), the Nordic Alliance, Central
European Competition Initiative
(CECI),
Andean
Community,
Association of Southeast Asian
Nations (ASEAN), Asia-Pacific
Economic Cooperation (APEC), and
Common Market for Eastern and
Southern Africa (COMESA).
Apart from the above-stated
multilateral arrangements, 12
agencies have stated that they are
a
part
of
multilateral
arrangements.
Agency Experience 8: Columbia and International
Cooperation
COMPAL is a program that provides technical assistance
in competition and consumer protection for LatinAmerican countries, including Columbia. It has the
support of the State Secretariat for Economic Affairs
Switzerland and UNCTAD. The program seeks to
strengthen every country’s capacities, institutions and
policies in these fields. In 2009, Columbia joined this
program in its second phase, as a mechanism to strengthen
its agency’s technical skills.
In 2015, COMPAL III was launched in Lima, Peru. This
version of the program focuses on: (i) the reinforcement
of acquired skills and strengthening of regional
cooperation; and (ii) the promotion of compliance of the
competition and consumer protection laws in the private
sectors.
Columbia has been contributing to the design of activities,
and has participated in internships funded by the program.
For instance, in November 2015, three officers
participated in the ‘First Training Program on
Competition Defence regarding Leniency Programs’. This
training program was held in Lima, Peru, and was hosted
by UNCTAD and the Peruvian competition agency
(INDECOPI).
Competition agencies also rely on
multilateral organisations such as the ICN and OECD to enhance their training and capacity building
programs. All agencies are members of at least one multilateral organisation.
66
Australia, Botswana, Brazil, Bulgaria, Columbia, Croatia, Cyprus, El Salvador, Estonia, Germany, European
Union, , India, Indonesia, Italy, Japan, Kenya, Malaysia, the Netherlands, Norway, Republic of Korea, Poland,
South Africa, Taiwan, Turkey, United Kingdom, and the United States of America.
67
Australia, Bulgaria, Columbia, Croatia, European Union, Hungary, India, Indonesia, Italy, Japan, Kenya, Turkey,
and USA had undertaken technical co-operation under the framework of a MoU.
45
For instance, the OECD Korea Policy Centre is a joint venture between the Korean government and
the OECD. It started in May 2004 and works with competition authorities in the Asia-Pacific region for
developing and implementing an effective competition law and policy regime. More specifically, 6
countries have identified the OECD Korea Policy Centre as an effective source of training and capacity
building.68
6.6.3) Foreign Academic Institutions
International co-operation has also been achieved by many agencies by entering into agreements with
foreign universities. Based on the 36 responses received, 9 agencies have entered into agreements
with foreign universities for the purpose of technical training.69 In particular, several regulators have
participated in training activities in association with King’s College London70, Barcelona Graduate
School of Economics71, and George Mason University School of Law72, which are renowned centres
that have made significant contributions in the field of competition law and policy.
Amongst the 10 out of 36 jurisdictions that sent their officers for training to foreign academic
institutions, the number of staff sent for training by Indonesia seemed substantial with 102 staffmembers attending training outside their jurisdiction. It is also interesting to note that Norway stated
that generally, around half of their officers/case handlers attended at least one course every year
abroad.
(This space has been intentionally left blank)
68
The countries which identified the OECD Korea Policy Centre as a source of training and capacity building
include Australia, Hong Kong, India, Japan, Singapore, Taiwan.
69
Brazil, Finland, Hungary, India, Italy, Kenya, South Africa, Sweden, and Taiwan stated that they participated in
training activities in association with foreign universities.
70
India, Italy, Singapore, South Africa and Sweden stated that they participated in training activities in
association with King’s College, London.
71
Hungary, Italy, Kenya, and Singapore stated that they participated in training activities in association with
Barcelona Graduate School of Economics.
72
Brazil and Taiwan stated that they participated in training activities in association with George Mason
University School of Law.
46
6.6.4) Other than through Agreements
The responses of the agencies also
reflect an interesting trend of
international co-operation between
foreign agencies even without
definitive agreements. It emerges that
28 competition regulators 73 have
undertaken training, knowledge and
skill-development exercises with other
foreign agencies. For example, Hungary
stated that it participated in training
exercises with 10 competition
regulators74 in 2014 and with 5
competition regulators75 in 2015.
Agency Experience 9: Australia, New Zealand and
ASEAN
The Australian Competition and Consumer
Commission has implemented a program funded by
Australia and New Zealand called the ‘Competition
Law Implementation Program’, which is designed to
help implement and strengthen competition law and
competition agencies throughout the ASEAN region.
As part of this program, Australia sent its staff for
conducting training courses in the ASEAN agencies,
and also seconded its staff to the ASEAN agencies for
the period of a few weeks to a few months. Further,
Australia was also involved in conducting weekly
training sessions for secondees from the ASEAN
agencies. Further, as part of its Competition Law
Implementation Program, the ACCC had also
seconded its staff to the ASEAN agencies for periods
ranging from a few weeks to a few months.
Similarly, Columbia engaged with the
competition regulators of Honduras
and Chile in 2016. Further, there is also
an inclination of agencies in the same geographic region for entering into co-operation and skill
development exercises. The most significant example emerges from the practices followed by the
Japan Fair Trade Commission (JFTC). JFTC undertakes technical assistance activities through the
framework of Japan International Co-operation Agency (JICA). JICA focusses on group-training and
country-focussed training. The group training courses which are held once every year since 1994,
entails both theoretical lectures and practical lectures for targeting a wide range of countries which
don’t have a comprehensive system of competition law framework, to those that have a long standing
experience in this field. Most importantly, under the JICA framework, JFTC sent its staff as long-term
expatriate expert to the Indonesian competition authority for a period of two-three years.
The US FTC has entered into an inter-agency agreement to help achieve capacity building for the
competition authorities of Central America, the Philippines and Ukraine. The FTC also works closely
with the US Department of Commerce to provide assistance to the competition authorities of
Pakistan, Afghanistan and the countries of the Gulf Co-operation Council. In addition, the US FTC
73
Australia, Botswana, Brazil, Bulgaria, Columbia, Croatia, Czech Republic, El Salvador, Estonia, European Union,
Finland, Hong Kong, Hungary, India, Indonesia, Japan, Kenya, Latvia, Malaysia, the Netherlands, Norway, Poland,
Singapore, South Africa, Sweden, Taiwan, United Kingdom and U.S.A. had undertaken technical co-operation
outside of the MoU framework.
74
According to the response provided by Hungary, it engaged with Austria, Czech Republic, Greece, Italy, the
Netherlands, Slovakia, Slovenia, South Korea, Spain and Sweden for the purpose of training on international cooperation in 2014.
75
According to the response provided by Hungary, it engaged with Latvia, the Netherlands, Portugal, Slovenia,
and Sweden for the purpose of training on international co-operation in 2015.
47
provides training for other competition agencies from its own resources based on bilateral discussions,
such as India, Brazil, Mexico, Argentina, Indonesia, and others from time to time.
South Africa stated that its officers received training from the staff of the European Union and the
United States of America as well as from experts of the OECD Competition Policy Division.

Twinning Programmes
‘Twinning’ is an EU instrument for institutional co-operation between public administrations of EU
member States and beneficiary countries. These beneficiary countries include the countries that are
part of EU as well as the countries that are present in the European neighbourhood. Twinning projects
aim to bring together public sector expertise from EU Member States and beneficiary countries with
the aim of achieving concrete mandatory operational results through peer to peer activities. 76
Twinning strives to share good practices developed within the EU with beneficiary public
administrations and to foster long-term relationships between administrations of present and future
EU countries. Some of the twinning projects, described below, have also been implemented towards
building capacity of newly created competition agencies.
For instance, Poland has participated in several twinning programs which are generally aimed at
increasing capacity and consistency of newly created competition and consumer protection agencies.
Within the framework of such twinning programs, officials from Poland carried out training sessions
and shared their knowledge and experience in conducting proceedings and issuing administrative
decisions. In 2014, Poland was involved in a project that intended to provide expert assistance for the
newly created Georgian competition protection authority, and its officials conducted several trainings
for the Georgian counterparts.
Further, Italy provided many training programs under the sponsorship of international organizations
such as the EU. This includes the “twinning projects” signed by Italy under the EU sponsorship with
agencies from Albania, Algeria, Bulgaria, Croatia, Malta and Romania. Italy has also been involved in
the European Commission program for Technical assistance and information exchange (TAIEX). Italy
has also participated in training programs sponsored by OECD and the UNCTAD such as the Sofia
Competition Forum.

Secondments
Another method of providing training for officers is the secondment programs. For instance, in
furtherance to the treaty establishing the European Community, the EC through its decision dated 12
November 2008 has laid down detailed rules regarding treatment of national experts77. Further, the
US FTC stated that it provided sponsorships to its officers for secondments at other competition
76
European Commission. (2017, December 6). Twinning - European neighbourhood policy and enlargement
negotiations - European commission. Retrieved February 22, 2017, from https://ec.europa.eu/neighbourhoodenlargement/tenders/twinning_en.
77
European Commission. (2008, November 12). COMMISSION DECISION of 12.11.2008 laying down rules on the
secondment to the Commission of national experts and national experts in professional training. Retrieved
February 22, 2017, from https://ec.europa.eu/jrc/sites/jrcsh/files/c(2008)6866.pdf.
48
agencies. Poland stated that in April 2015, it had carried out a secondment program at the United
Kingdom for one employee of the Department of Market Analysis.

Others
Bulgaria stated that although it did not send its resources abroad, Bulgaria was in-charge of organising
the Sofia Competition Forum, which was a joint initiative of Bulgaria and the UNCTAD. The Forum is
an informal platform for technical assistance, exchange of experience and consultations in the field of
competition policy and enforcement. The Forum aims to assist countries in the region in adopting and
enforcing competition law and to maximize the benefits for these countries of well-functioning
markets. The Forum is designed to provide capacity building assistance and policy advice through
seminars and workshops on competition law and policy.
49
Annexure 1: Summary of Agency Responses
Section 1: Basic Information about the Agency and Its Employees
4
5
Scope of agency's enforcement activities
YES
NO
N/A
TOTAL
4.1
Enforcement against cartel and anticompetitive conduct
36
0
0
36
4.2
Enforcement
against
abuse
dominance/unilateral conduct
35
1
0
36
4.3
Merger review
33
3
0
36
4.4
Competition Advocacy
36
0
0
36
4.5
Competition Impact assessment
29
7
0
36
4.6
Sectoral regulation
6
30
0
36
4.7
Consumer Protection
13
23
0
36
4.8
Others
8
28
0
36
YES
NO
N/A
TOTAL
of
Age of agency:-
5.1
0-5 years
5
31
0
36
5.2
6-10 years
4
32
0
36
5.3
11-20 years
6
30
0
36
5.4
More than 20 years
21
15
0
36
50
Section 2: Implementation of Training and Other Capacity Building Programs
1. Is there a separate department in agency to oversee trainings and capacity building of staff/
officers?
YES
NO
N/A
TOTAL
30
6
0
36
2 Does agency have a process for identifying training and professional development needs (Training
Need Analysis) of staffs/officers?
YES
NO
N/A
TOTAL
30
6
0
36
4 Does agency prepare a training plan or calendar?
YES
NO
N/A
TOTAL
28
8
0
36
5 How far into the future does this Training Calendar plan for?
YES
NO
N/A
TOTAL
5.1
6 Months
6
24
6
36
5.2
12 Months
23
7
6
36
5.3
24 Months
2
28
6
36
5.4
None of the above
1
29
6
36
51
6 Frequency of Training Need Analysis undertaken:YES
NO
N/A
TOTAL
6.1
To be undertaken in future
1
28
7
36
6.2
Monthly
7
22
7
36
6.3
Every Six Months
4
25
7
36
6.4
Annually
13
16
7
36
6.5
Other
6
23
7
36
7 Did you utilise external resource person/agency for organising domestic training programme in
last financial year:YES
NO
N/A
TOTAL
29
7
0
36
10 Teaching methods agency prefer:YES
NO
N/A
TOTAL
10.1
Lectures
29
3
4
36
10.2
Case studies based on concrete examples
29
3
4
36
10.3
problem solving in small groups
21
11
4
36
10.4
Simulation
interviews)
19
13
4
36
10.5
Peer to peer discussions
21
11
4
36
10.6
Role plays
15
17
4
36
10.7
Any other
3
29
4
36
exercises
(e.g.,
witness
52
14 What level of staff is provided with training?
YES
NO
N/A
TOTAL
14.1
Chairperson/
Members
(Senior
management)
24
11
1
36
14.2
Mid-level
management
33
2
1
36
14.3
Entry level staff/
Junior management
30
5
1
36
15 Has your agency sent its officer as a resource person to impart training in other jurisdictions?
YES
NO
N/A
TOTAL
28
8
0
36
16 Does your agency provide any sponsorship to its staff/ officers for undertaking long term course
on competition policy?
YES
NO
N/A
TOTAL
22
14
0
36
17 If Yes, Which type of course is preferred by your staff?
YES
NO
N/A
TOTAL
17.1
Correspondence/online
13
17
6
36
17.2
Part-time
14
16
6
36
17.3
Fulltime
10
20
6
36
53
18 Does agency organise induction training for newly joined officers.
YES
NO
N/A
TOTAL
33
3
0
36
20 Do you utilise external resource persons/ agencies for conducting the induction training
program?
YES
NO
N/A
TOTAL
12
18
6
36
22 Does your agency organise refresher course for experienced officer:YES
NO
N/A
TOTAL
30
6
0
36
23 Do you utilise external resource persons/ agencies for conducting the refresher course:YES
NO
N/A
TOTAL
19
12
5
36
24 Factors prevent you from meeting or achieving your training or capacity building needs:
Q. No.
Problems
YES
NO
N/A
TOTAL
24.1
Cost
25
11
0
36
24.2
Staff shortage
12
24
0
36
24.3
Capacity of workforce
8
28
0
36
24.4
Scarcity of time
23
13
0
36
54
Q. No.
Problems
YES
NO
N/A
TOTAL
24.5
Geography and location of venue
10
26
0
36
24.6
Lack of managerial support to organise the
training
1
35
0
36
24.7
Lack of in-house or external experts in the
field
5
31
0
36
24.8
Inadequate feedback received from staff/
officers who participated previously
2
34
0
36
24.9
Learning by doing is more efficient that the
organisation of trainings
10
26
0
36
Section 3: Measuring Effectiveness of Training Programs
1. Does you agency take feedback from participants after each training to determine the
effectiveness?
2
3
YES
NO
N/A
TOTAL
32
2
2
36
Are these feedback filled anonymously?
YES
NO
N/A
TOTAL
18
13
5
36
Aspects of training effectiveness
Q. No.
3.1
Query
YES
NO
N/A
OR
CANT SAY
TOTAL
Do the participants use any of the ideas or
techniques they learned or were exposed
to?
30
3
3
36
55
Q. No.
4
5
6
7
Query
YES
NO
N/A
OR
CANT SAY
TOTAL
3.2
Are they more open to innovation in their
work than before?
23
7
6
36
3.3
Does training improve their confidence or
their feeling of competency?
30
3
3
36
3.4
Would they consider the time spent on it
as valuable part of their jobs?
27
3
6
36
3.5
What would they like to see added or
removed in the future training?
20
2
14
36
How easily did new staff members adapt to the techniques, ideas, and attitudes presented in
initial training?
GOOD
VERY GOOD
N/A
TOTAL
13
17
6
36
Have any of the ideas proposed in training been adopted in practice, and how well are they
working?
GOOD
VERY GOOD
EXCELLENT
FAIR
N/A
TOTAL
15
10
1
1
9
36
Do staff members discuss training issues with seniors or with one another?
YES
NO
N/A
TOTAL
34
1
1
36
What are the mechanisms of these discussions?
56
8
YES
NO
N/A
TOTAL
7.1
FORMAL
23
12
1
36
7.2
INFORMAL
31
4
1
36
Does your agency provide follow up support to improve the efficiency of staff?
YES
NO
N/A
TOTAL
25
8
3
36
57
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